From 844c367f0c82f0d034b51d3e956c5be20d98e5ea Mon Sep 17 00:00:00 2001 From: David Waltermire Date: Mon, 18 Dec 2023 11:29:23 -0500 Subject: [PATCH] Updated base catalog to the previous 1.2.0 oscal content release. --- .../FedRAMP_rev5_HIGH-baseline_profile.xml | 10 +- .../FedRAMP_rev5_LI-SaaS-baseline_profile.xml | 10 +- .../xml/FedRAMP_rev5_LOW-baseline_profile.xml | 10 +- ...FedRAMP_rev5_MODERATE-baseline_profile.xml | 10 +- .../xml/NIST_SP-800-53_rev5_catalog.xml | 88543 ++++++++++++++++ 5 files changed, 88563 insertions(+), 20 deletions(-) create mode 100644 src/content/rev5/baselines/xml/NIST_SP-800-53_rev5_catalog.xml diff --git a/src/content/rev5/baselines/xml/FedRAMP_rev5_HIGH-baseline_profile.xml b/src/content/rev5/baselines/xml/FedRAMP_rev5_HIGH-baseline_profile.xml index e931d6845..7333be291 100644 --- a/src/content/rev5/baselines/xml/FedRAMP_rev5_HIGH-baseline_profile.xml +++ b/src/content/rev5/baselines/xml/FedRAMP_rev5_HIGH-baseline_profile.xml @@ -1,12 +1,12 @@ - + FedRAMP Rev 5 High Baseline 2023-08-31T00:00:00Z - 2023-08-31T00:00:00Z - fedramp-2.0.0-oscal1.0.4 - 1.0.4 + 2023-12-18T15:22:59Z + fedramp-2.0.0-oscal1.1.1 + 1.1.1 Document creator @@ -3805,7 +3805,7 @@ NIST Special Publication (SP) 800-53 - + diff --git a/src/content/rev5/baselines/xml/FedRAMP_rev5_LI-SaaS-baseline_profile.xml b/src/content/rev5/baselines/xml/FedRAMP_rev5_LI-SaaS-baseline_profile.xml index e2841bd5e..9da6ab729 100644 --- a/src/content/rev5/baselines/xml/FedRAMP_rev5_LI-SaaS-baseline_profile.xml +++ b/src/content/rev5/baselines/xml/FedRAMP_rev5_LI-SaaS-baseline_profile.xml @@ -1,12 +1,12 @@ - + FedRAMP Rev 5 Tailored Low Impact Software as a Service (LI-SaaS) Baseline 2023-08-31T00:00:00Z - 2023-08-31T00:00:00Z - fedramp-2.0.0-oscal1.0.4 - 1.0.4 + 2023-12-18T15:22:59Z + fedramp-2.0.0-oscal1.1.1 + 1.1.1 Document creator @@ -2952,7 +2952,7 @@ NIST Special Publication (SP) 800-53 - + diff --git a/src/content/rev5/baselines/xml/FedRAMP_rev5_LOW-baseline_profile.xml b/src/content/rev5/baselines/xml/FedRAMP_rev5_LOW-baseline_profile.xml index d75731d2b..4f80e194d 100644 --- a/src/content/rev5/baselines/xml/FedRAMP_rev5_LOW-baseline_profile.xml +++ b/src/content/rev5/baselines/xml/FedRAMP_rev5_LOW-baseline_profile.xml @@ -1,12 +1,12 @@ - + FedRAMP Rev 5 Low Baseline 2023-08-31T00:00:00Z - 2023-08-31T00:00:00Z - fedramp-2.0.0-oscal1.0.4 - 1.0.4 + 2023-12-18T15:21:26Z + fedramp-2.0.0-oscal1.1.1 + 1.1.1 Document creator @@ -2252,7 +2252,7 @@ NIST Special Publication (SP) 800-53 - + diff --git a/src/content/rev5/baselines/xml/FedRAMP_rev5_MODERATE-baseline_profile.xml b/src/content/rev5/baselines/xml/FedRAMP_rev5_MODERATE-baseline_profile.xml index f6caa4ce5..97fd569fc 100644 --- a/src/content/rev5/baselines/xml/FedRAMP_rev5_MODERATE-baseline_profile.xml +++ b/src/content/rev5/baselines/xml/FedRAMP_rev5_MODERATE-baseline_profile.xml @@ -1,12 +1,12 @@ - + FedRAMP Rev 5 Moderate Baseline 2023-08-31T00:00:00Z - 2023-08-31T00:00:00Z - fedramp-2.0.0-oscal1.0.4 - 1.0.4 + 2023-12-18T15:21:26Z + fedramp-2.0.0-oscal1.1.1 + 1.1.1 Document creator @@ -3481,7 +3481,7 @@ NIST Special Publication (SP) 800-53 - + diff --git a/src/content/rev5/baselines/xml/NIST_SP-800-53_rev5_catalog.xml b/src/content/rev5/baselines/xml/NIST_SP-800-53_rev5_catalog.xml new file mode 100644 index 000000000..6a0841113 --- /dev/null +++ b/src/content/rev5/baselines/xml/NIST_SP-800-53_rev5_catalog.xml @@ -0,0 +1,88543 @@ + + + + + Electronic Version of NIST SP 800-53 Rev 5.1.1 Controls and SP 800-53A Rev 5.1.1 Assessment Procedures + 2023-12-18T15:22:59Z + 5.1.1+u3+fedramp + 1.1.1 + + + Electronic Version of NIST SP 800-53 Rev 5 Controls and SP 800-53A Rev 5 Assessment Procedures + 2023-10-12T00:00:00.000000-04:00 + 5.1.1 + 1.1.1 + + +

This revision of the SP 800-53 Revision 5 Catalog includes metadata and tagging reflecting richer control semantics, such as organizational vs system-level controls as indicated in SP800-53 Rev 5.1 Appendix C, and minor bug fixes in its content.

+ + + + Electronic Version of NIST SP 800-53 Rev 5.1.1 Controls and SP 800-53A Rev 5.1.1 Assessment Procedures + 2023-11-14T00:00:00.000000-04:00 + 5.1.1+u1 + 1.1.1 + + +

This revision of the SP 800-53 Revision 5 Catalog is the finalized changes to NIST SP 800-53 Revision 5.1.1 on November, 7, 2023.

+ + + + Electronic Version of NIST SP 800-53 Rev 5.1.1 Controls and SP 800-53A Rev 5.1.1 Assessment Procedures + 2023-12-04T13:16:10.000000-04:00 + 5.1.1+u2 + 1.1.1 + + +

This revision of the OSCAL representation of the NIST SP 800-53 Revision 5.1.1 published on November, 7, 2023, provides enhancements to data representation per community's suggestions.

+ + + + + + + + + Document creator + + + Contact + + + Joint Task Force, Interagency Working Group + sec-cert@nist.gov +
+ National Institute of Standards and Technology + Attn: Computer Security Division + Information Technology Laboratory + 100 Bureau Drive (Mail Stop 8930) + Gaithersburg + MD + 20899-8930 +
+ + + 41a93829-b76b-43ec-b9e7-250553511549 + + + 41a93829-b76b-43ec-b9e7-250553511549 + + + + Access Control + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the access control policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the access control procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the access control policy and procedures is defined;

+ + + + + + + +

the frequency at which the current access control policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current access control policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current access control procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

access control policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the access control policy and the associated access controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the access control policy and procedures; and

+ + + +

Review and update the current access control:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Access control policy and procedures address the controls in the AC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of access control policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to access control policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

an access control policy is developed and documented;

+ + + + +

the access control policy is disseminated to ;

+ + + + +

access control procedures to facilitate the implementation of the access control policy and associated controls are developed and documented;

+ + + + +

the access control procedures are disseminated to ;

+ + + + + + + + +

the access control policy addresses purpose;

+ + + + +

the access control policy addresses scope;

+ + + + +

the access control policy addresses roles;

+ + + + +

the access control policy addresses responsibilities;

+ + + + +

the access control policy addresses management commitment;

+ + + + +

the access control policy addresses coordination among organizational entities;

+ + + + +

the access control policy addresses compliance;

+ + + + + + +

the access control policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the access control policy and procedures;

+ + + + + + + + +

the current access control policy is reviewed and updated ;

+ + + + +

the current access control policy is reviewed and updated following ;

+ + + + + + + + +

the current access control procedures are reviewed and updated ;

+ + + + +

the current access control procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Access control policy and procedures

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access control responsibilities

+

organizational personnel with information security with information security and privacy responsibilities

+ + + + + Account Management + + + + + +

prerequisites and criteria for group and role membership are defined;

+ + + + + + + +

attributes (as required) for each account are defined;

+ + + + + + + +

personnel or roles required to approve requests to create accounts is/are defined;

+ + + + + + + +

policy, procedures, prerequisites, and criteria for account creation, enabling, modification, disabling, and removal are defined;

+ + + + + + + +

personnel or roles to be notified is/are defined;

+ + + + + + + +

time period within which to notify account managers when accounts are no longer required is defined;

+ + + + + + + +

time period within which to notify account managers when users are terminated or transferred is defined;

+ + + + + + + +

time period within which to notify account managers when system usage or the need to know changes for an individual is defined;

+ + + + + + + +

attributes needed to authorize system access (as required) are defined;

+ + + + + + + +

the frequency of account review is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Define and document the types of accounts allowed and specifically prohibited for use within the system;

+ + + +

Assign account managers;

+ + + +

Require for group and role membership;

+ + + +

Specify:

+ + +

Authorized users of the system;

+ + + +

Group and role membership; and

+ + + +

Access authorizations (i.e., privileges) and for each account;

+ + + + +

Require approvals by for requests to create accounts;

+ + + +

Create, enable, modify, disable, and remove accounts in accordance with ;

+ + + +

Monitor the use of accounts;

+ + + +

Notify account managers and within:

+ + +

when accounts are no longer required;

+ + + +

when users are terminated or transferred; and

+ + + +

when system usage or need-to-know changes for an individual;

+ + + + +

Authorize access to the system based on:

+ + +

A valid access authorization;

+ + + +

Intended system usage; and

+ + + +

;

+ + + + +

Review accounts for compliance with account management requirements ;

+ + + +

Establish and implement a process for changing shared or group account authenticators (if deployed) when individuals are removed from the group; and

+ + + +

Align account management processes with personnel termination and transfer processes.

+ + + +

Examples of system account types include individual, shared, group, system, guest, anonymous, emergency, developer, temporary, and service. Identification of authorized system users and the specification of access privileges reflect the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access, including system owner, mission or business owner, senior agency information security officer, or senior agency official for privacy. Types of accounts that organizations may wish to prohibit due to increased risk include shared, group, emergency, anonymous, temporary, and guest accounts.

+

Where access involves personally identifiable information, security programs collaborate with the senior agency official for privacy to establish the specific conditions for group and role membership; specify authorized users, group and role membership, and access authorizations for each account; and create, adjust, or remove system accounts in accordance with organizational policies. Policies can include such information as account expiration dates or other factors that trigger the disabling of accounts. Organizations may choose to define access privileges or other attributes by account, type of account, or a combination of the two. Examples of other attributes required for authorizing access include restrictions on time of day, day of week, and point of origin. In defining other system account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability.

+

Temporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts, including local logon accounts used for special tasks or when network resources are unavailable (may also be known as accounts of last resort). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include when shared/group, emergency, or temporary accounts are no longer required and when individuals are transferred or terminated. Changing shared/group authenticators when members leave the group is intended to ensure that former group members do not retain access to the shared or group account. Some types of system accounts may require specialized training.

+ + + + + + + +

account types allowed for use within the system are defined and documented;

+ + + + +

account types specifically prohibited for use within the system are defined and documented;

+ + + + + + +

account managers are assigned;

+ + + + +

for group and role membership are required;

+ + + + + + +

authorized users of the system are specified;

+ + + + +

group and role membership are specified;

+ + + + + + +

access authorizations (i.e., privileges) are specified for each account;

+ + + + +

are specified for each account;

+ + + + + + + + +

approvals are required by for requests to create accounts;

+ + + + + + +

accounts are created in accordance with ;

+ + + + +

accounts are enabled in accordance with ;

+ + + + +

accounts are modified in accordance with ;

+ + + + +

accounts are disabled in accordance with ;

+ + + + +

accounts are removed in accordance with ;

+ + + + + + +

the use of accounts is monitored;

+ + + + + + +

account managers and are notified within when accounts are no longer required;

+ + + + +

account managers and are notified within when users are terminated or transferred;

+ + + + +

account managers and are notified within when system usage or the need to know changes for an individual;

+ + + + + + + + +

access to the system is authorized based on a valid access authorization;

+ + + + +

access to the system is authorized based on intended system usage;

+ + + + +

access to the system is authorized based on ;

+ + + + + + +

accounts are reviewed for compliance with account management requirements ;

+ + + + + + +

a process is established for changing shared or group account authenticators (if deployed) when individuals are removed from the group;

+ + + + +

a process is implemented for changing shared or group account authenticators (if deployed) when individuals are removed from the group;

+ + + + + + + + +

account management processes are aligned with personnel termination processes;

+ + + + +

account management processes are aligned with personnel transfer processes.

+ + + + + + + + + + +

Access control policy

+

personnel termination policy and procedure

+

personnel transfer policy and procedure

+

procedures for addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

list of active system accounts along with the name of the individual associated with each account

+

list of recently disabled system accounts and the name of the individual associated with each account

+

list of conditions for group and role membership

+

notifications of recent transfers, separations, or terminations of employees

+

access authorization records

+

account management compliance reviews

+

system monitoring records

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security with information security and privacy responsibilities

+ + + + + + +

Organizational processes for account management on the system

+

mechanisms for implementing account management

+ + + + Automated System Account Management + + + + + +

automated mechanisms used to support the management of system accounts are defined;

+ + + + + + + + + +

Support the management of system accounts using .

+ + +

Automated system account management includes using automated mechanisms to create, enable, modify, disable, and remove accounts; notify account managers when an account is created, enabled, modified, disabled, or removed, or when users are terminated or transferred; monitor system account usage; and report atypical system account usage. Automated mechanisms can include internal system functions and email, telephonic, and text messaging notifications.

+ + + +

the management of system accounts is supported using .

+ + + + + + +

Access control policy

+

procedures for addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security with information security responsibilities

+

system developers

+ + + + + + +

Automated mechanisms for implementing account management functions

+ + + + + Automated Temporary and Emergency Account Management + + + + + + + + + + + +

the time period after which to automatically remove or disable temporary or emergency accounts is defined;

+ + + + + + + + + +

Automatically temporary and emergency accounts after .

+ + +

Management of temporary and emergency accounts includes the removal or disabling of such accounts automatically after a predefined time period rather than at the convenience of the system administrator. Automatic removal or disabling of accounts provides a more consistent implementation.

+ + + +

temporary and emergency accounts are automatically after .

+ + + + + + +

Access control policy

+

procedures for addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of temporary accounts removed and/or disabled

+

system-generated list of emergency accounts removed and/or disabled

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security with information security responsibilities

+

system developers

+ + + + + + +

Automated mechanisms for implementing account management functions

+ + + + + Disable Accounts + + + + + +

time period within which to disable accounts is defined;

+ + + + + + + +

time period for account inactivity before disabling is defined;

+ + + + + + + + + +

Disable accounts within when the accounts:

+ + +

Have expired;

+ + + +

Are no longer associated with a user or individual;

+ + + +

Are in violation of organizational policy; or

+ + + +

Have been inactive for .

+ + + +

Disabling expired, inactive, or otherwise anomalous accounts supports the concepts of least privilege and least functionality which reduce the attack surface of the system.

+ + + + + +

accounts are disabled within when the accounts have expired;

+ + + + +

accounts are disabled within when the accounts are no longer associated with a user or individual;

+ + + + +

accounts are disabled within when the accounts are in violation of organizational policy;

+ + + + +

accounts are disabled within when the accounts have been inactive for .

+ + + + + + + + +

Access control policy

+

procedures for addressing account management

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of accounts removed

+

system-generated list of emergency accounts disabled

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms for implementing account management functions

+ + + + + Automated Audit Actions + + + + + + + + + +

Automatically audit account creation, modification, enabling, disabling, and removal actions.

+ + +

Account management audit records are defined in accordance with AU-02 and reviewed, analyzed, and reported in accordance with AU-06.

+ + + + + +

account creation is automatically audited;

+ + + + +

account modification is automatically audited;

+ + + + +

account enabling is automatically audited;

+ + + + +

account disabling is automatically audited;

+ + + + +

account removal actions are automatically audited.

+ + + + + + + + +

Access control policy

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

notifications/alerts of account creation, modification, enabling, disabling, and removal actions

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Automated mechanisms implementing account management functions

+ + + + + Inactivity Logout + + + + + +

the time period of expected inactivity or description of when to log out is defined;

+ + + + + + + + + + + +

Require that users log out when .

+ + +

Inactivity logout is behavior- or policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period. Automatic enforcement of inactivity logout is addressed by AC-11.

+ + + +

users are required to log out when .

+ + + + + + +

Access control policy

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

security violation reports

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

users that must comply with inactivity logout policy

+ + + + + Dynamic Privilege Management + + + + + +

dynamic privilege management capabilities are defined;

+ + + + + + + + + + +

Implement .

+ + +

In contrast to access control approaches that employ static accounts and predefined user privileges, dynamic access control approaches rely on runtime access control decisions facilitated by dynamic privilege management, such as attribute-based access control. While user identities remain relatively constant over time, user privileges typically change more frequently based on ongoing mission or business requirements and the operational needs of organizations. An example of dynamic privilege management is the immediate revocation of privileges from users as opposed to requiring that users terminate and restart their sessions to reflect changes in privileges. Dynamic privilege management can also include mechanisms that change user privileges based on dynamic rules as opposed to editing specific user profiles. Examples include automatic adjustments of user privileges if they are operating out of their normal work times, if their job function or assignment changes, or if systems are under duress or in emergency situations. Dynamic privilege management includes the effects of privilege changes, for example, when there are changes to encryption keys used for communications.

+ + + +

are implemented.

+ + + + + + +

Access control policy

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of dynamic privilege management capabilities

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

system or mechanisms implementing dynamic privilege management capabilities

+ + + + + Privileged User Accounts + + + + + + + + + + + + + + +

Establish and administer privileged user accounts in accordance with ;

+ + + +

Monitor privileged role or attribute assignments;

+ + + +

Monitor changes to roles or attributes; and

+ + + +

Revoke access when privileged role or attribute assignments are no longer appropriate.

+ + + +

Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. Privileged roles include key management, account management, database administration, system and network administration, and web administration. A role-based access scheme organizes permitted system access and privileges into roles. In contrast, an attribute-based access scheme specifies allowed system access and privileges based on attributes.

+ + + + + +

privileged user accounts are established and administered in accordance with ;

+ + + + +

privileged role or attribute assignments are monitored;

+ + + + +

changes to roles or attributes are monitored;

+ + + + +

access is revoked when privileged role or attribute assignments are no longer appropriate.

+ + + + + + + + +

Access control policy

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of privileged user accounts and associated roles

+

records of actions taken when privileged role assignments are no longer appropriate

+

system audit records

+

audit tracking and monitoring reports

+

system monitoring records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing account management functions

+

mechanisms monitoring privileged role assignments

+ + + + + Dynamic Account Management + + + + + +

system accounts that are dynamically created, activated, managed, and deactivated are defined;

+ + + + + + + + + + +

Create, activate, manage, and deactivate dynamically.

+ + +

Approaches for dynamically creating, activating, managing, and deactivating system accounts rely on automatically provisioning the accounts at runtime for entities that were previously unknown. Organizations plan for the dynamic management, creation, activation, and deactivation of system accounts by establishing trust relationships, business rules, and mechanisms with appropriate authorities to validate related authorizations and privileges.

+ + + + + +

are created dynamically;

+ + + + +

are activated dynamically;

+ + + + +

are managed dynamically;

+ + + + +

are deactivated dynamically.

+ + + + + + + + +

Access control policy

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of system accounts

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Automated mechanisms implementing account management functions

+ + + + + Restrictions on Use of Shared and Group Accounts + + + + + + +

conditions for establishing shared and group accounts are defined;

+ + + + + + + + + +

Only permit the use of shared and group accounts that meet .

+ + +

Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts.

+ + + +

the use of shared and group accounts is only permitted if are met.

+ + + + + + +

Access control policy

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of shared/group accounts and associated roles

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing management of shared/group accounts

+ + + + + Shared and Group Account Credential Change + + + + + + + + + Usage Conditions + + + + + +

circumstances and/or usage conditions to be enforced for system accounts are defined;

+ + + + + + + +

system accounts subject to enforcement of circumstances and/or usage conditions are defined;

+ + + + + + + + + +

Enforce for .

+ + +

Specifying and enforcing usage conditions helps to enforce the principle of least privilege, increase user accountability, and enable effective account monitoring. Account monitoring includes alerts generated if the account is used in violation of organizational parameters. Organizations can describe specific conditions or circumstances under which system accounts can be used, such as by restricting usage to certain days of the week, time of day, or specific durations of time.

+ + + +

for are enforced.

+ + + + + + +

Access control policy

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of system accounts and associated assignments of usage circumstances and/or usage conditions

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing account management functions

+ + + + + Account Monitoring for Atypical Usage + + + + + +

atypical usage for which to monitor system accounts is defined;

+ + + + + + + +

personnel or roles to report atypical usage is/are defined;

+ + + + + + + + + + + + + + + + + +

Monitor system accounts for ; and

+ + + +

Report atypical usage of system accounts to .

+ + + +

Atypical usage includes accessing systems at certain times of the day or from locations that are not consistent with the normal usage patterns of individuals. Monitoring for atypical usage may reveal rogue behavior by individuals or an attack in progress. Account monitoring may inadvertently create privacy risks since data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document privacy risks from monitoring accounts for atypical usage in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.

+ + + + + +

system accounts are monitored for ;

+ + + + +

atypical usage of system accounts is reported to .

+ + + + + + + + +

Access control policy

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system monitoring records

+

system audit records

+

audit tracking and monitoring reports

+

privacy impact assessment

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing account management functions

+ + + + + Disable Accounts for High-risk Individuals + + + + + +

time period within which to disable accounts of individuals who are discovered to pose significant risk is defined;

+ + + + + + + +

significant risks leading to disabling accounts are defined;

+ + + + + + + + + + + +

Disable accounts of individuals within of discovery of .

+ + +

Users who pose a significant security and/or privacy risk include individuals for whom reliable evidence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes adverse impacts to organizational operations, organizational assets, individuals, other organizations, or the Nation. Close coordination among system administrators, legal staff, human resource managers, and authorizing officials is essential when disabling system accounts for high-risk individuals.

+ + + +

accounts of individuals are disabled within of discovery of .

+ + + + + + +

Access control policy

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of disabled accounts

+

list of user activities posing significant organizational risk

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing account management functions

+ + + + + + Access Enforcement + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

+ + +

Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of mission and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection ( PE ) family.

+ + + +

approved authorizations for logical access to information and system resources are enforced in accordance with applicable access control policies.

+ + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of approved authorizations (user privileges)

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access control policy

+ + + + Restricted Access to Privileged Functions + + + + + + + + + Dual Authorization + + + + + + +

privileged commands and/or other actions requiring dual authorization are defined;

+ + + + + + + + + + + +

Enforce dual authorization for .

+ + +

Dual authorization, also known as two-person control, reduces risk related to insider threats. Dual authorization mechanisms require the approval of two authorized individuals to execute. To reduce the risk of collusion, organizations consider rotating dual authorization duties. Organizations consider the risk associated with implementing dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

+ + + +

dual authorization is enforced for .

+ + + + + + +

Access control policy

+

procedures addressing access enforcement and dual authorization

+

system design documentation

+

system configuration settings and associated documentation

+

list of privileged commands requiring dual authorization

+

list of actions requiring dual authorization

+

list of approved authorizations (user privileges)

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Dual authorization mechanisms implementing access control policy

+ + + + + Mandatory Access Control + + + + + + + + + +

mandatory access control policy enforced over the set of covered subjects is defined;

+ + + + + + +

mandatory access control policy enforced over the set of covered objects is defined;

+ + + + + + + +

subjects to be explicitly granted privileges are defined;

+ + + + + + + +

privileges to be explicitly granted to subjects are defined;

+ + + + + + + + + + +

Enforce over the set of covered subjects and objects specified in the policy, and where the policy:

+ + +

Is uniformly enforced across the covered subjects and objects within the system;

+ + + +

Specifies that a subject that has been granted access to information is constrained from doing any of the following;

+ + +

Passing the information to unauthorized subjects or objects;

+ + + +

Granting its privileges to other subjects;

+ + + +

Changing one or more security attributes (specified by the policy) on subjects, objects, the system, or system components;

+ + + +

Choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects; and

+ + + +

Changing the rules governing access control; and

+ + + + +

Specifies that may explicitly be granted such that they are not limited by any defined subset (or all) of the above constraints.

+ + + +

Mandatory access control is a type of nondiscretionary access control. Mandatory access control policies constrain what actions subjects can take with information obtained from objects for which they have already been granted access. This prevents the subjects from passing the information to unauthorized subjects and objects. Mandatory access control policies constrain actions that subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the system has control. Otherwise, the access control policy can be circumvented. This enforcement is provided by an implementation that meets the reference monitor concept as described in AC-25 . The policy is bounded by the system (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect).

+

The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6 ). Trusted subjects are only given the minimum privileges necessary for satisfying organizational mission/business needs relative to the above policy. The control is most applicable when there is a mandate that establishes a policy regarding access to controlled unclassified information or classified information and some users of the system are not authorized access to all such information resident in the system. Mandatory access control can operate in conjunction with discretionary access control as described in AC-3(4) . A subject constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of AC-3(4), but mandatory access control policies take precedence over the less rigorous constraints of AC-3(4). For example, while a mandatory access control policy imposes a constraint that prevents a subject from passing information to another subject operating at a different impact or classification level, AC-3(4) permits the subject to pass the information to any other subject with the same impact or classification level as the subject. Examples of mandatory access control policies include the Bell-LaPadula policy to protect confidentiality of information and the Biba policy to protect the integrity of information.

+ + + + + +

is enforced over the set of covered subjects specified in the policy;

+ + + + +

is enforced over the set of covered objects specified in the policy;

+ + + + + + +

is uniformly enforced across the covered subjects within the system;

+ + + + +

is uniformly enforced across the covered objects within the system;

+ + + + + + + + +

and specifying that a subject that has been granted access to information is constrained from passing the information to unauthorized subjects or objects are enforced;

+ + + + +

and specifying that a subject that has been granted access to information is constrained from granting its privileges to other subjects are enforced;

+ + + + +

and specifying that a subject that has been granted access to information is constrained from changing one of more security attributes (specified by the policy) on subjects, objects, the system, or system components are enforced;

+ + + + +

and specifying that a subject that has been granted access to information is constrained from choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects are enforced;

+ + + + +

and specifying that a subject that has been granted access to information is constrained from changing the rules governing access control are enforced;

+ + + + + + +

and specifying that may explicitly be granted such that they are not limited by any defined subset (or all) of the above constraints are enforced.

+ + + + + + + + +

Access control policy

+

mandatory access control policies

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Automated mechanisms implementing mandatory access control

+ + + + + Discretionary Access Control + + + + + + + + + +

discretionary access control policy enforced over the set of covered subjects is defined;

+ + + + + + +

discretionary access control policy enforced over the set of covered objects is defined;

+ + + + + + + + + +

Enforce over the set of covered subjects and objects specified in the policy, and where the policy specifies that a subject that has been granted access to information can do one or more of the following:

+ + +

Pass the information to any other subjects or objects;

+ + + +

Grant its privileges to other subjects;

+ + + +

Change security attributes on subjects, objects, the system, or the system’s components;

+ + + +

Choose the security attributes to be associated with newly created or revised objects; or

+ + + +

Change the rules governing access control.

+ + + +

When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing the information to other subjects or objects (i.e., subjects have the discretion to pass). Discretionary access control can operate in conjunction with mandatory access control as described in AC-3(3) and AC-3(15) . A subject that is constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of discretionary access control. Therefore, while AC-3(3) imposes constraints that prevent a subject from passing information to another subject operating at a different impact or classification level, AC-3(4) permits the subject to pass the information to any subject at the same impact or classification level. The policy is bounded by the system. Once the information is passed outside of system control, additional means may be required to ensure that the constraints remain in effect. While traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this particular use of discretionary access control.

+ + + + + +

is enforced over the set of covered subjects specified in the policy;

+ + + + +

is enforced over the set of covered objects specified in the policy;

+ + + + +

and are enforced where the policy specifies that a subject that has been granted access to information can pass the information to any other subjects or objects;

+ + + + +

and are enforced where the policy specifies that a subject that has been granted access to information can grant its privileges to other subjects;

+ + + + +

and are enforced where the policy specifies that a subject that has been granted access to information can change security attributes on subjects, objects, the system, or the system’s components;

+ + + + +

and are enforced where the policy specifies that a subject that has been granted access to information can choose the security attributes to be associated with newly created or revised objects;

+ + + + +

and are enforced where the policy specifies that a subject that has been granted access to information can change the rules governing access control.

+ + + + + + + + +

Access control policy

+

discretionary access control policies

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing discretionary access control policy

+ + + + + Security-relevant Information + + + + + +

security-relevant information to which access is prevented except during secure, non-operable system states is defined;

+ + + + + + + + + + + +

Prevent access to except during secure, non-operable system states.

+ + +

Security-relevant information is information within systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security and privacy policies or maintain the separation of code and data. Security-relevant information includes access control lists, filtering rules for routers or firewalls, configuration parameters for security services, and cryptographic key management information. Secure, non-operable system states include the times in which systems are not performing mission or business-related processing, such as when the system is offline for maintenance, boot-up, troubleshooting, or shut down.

+ + + +

access to is prevented except during secure, non-operable system states.

+ + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms preventing access to security-relevant information within the system

+ + + + + Protection of User and System Information + + + + + + + + + + Role-based Access Control + + + + + + + + + +

roles upon which to base control of access are defined;

+ + + + + + +

users authorized to assume roles (defined in AC-03(07)_ODP[01]) are defined;

+ + + + + + + + + + +

Enforce a role-based access control policy over defined subjects and objects and control access based upon .

+ + +

Role-based access control (RBAC) is an access control policy that enforces access to objects and system functions based on the defined role (i.e., job function) of the subject. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined roles. When users are assigned to specific roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a large number of individuals) but are instead acquired through role assignments. RBAC can also increase privacy and security risk if individuals assigned to a role are given access to information beyond what they need to support organizational missions or business functions. RBAC can be implemented as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy.

+ + + + + +

a role-based access control policy is enforced over defined subjects;

+ + + + +

a role-based access control policy is enforced over defined objects;

+ + + + +

access is controlled based on and .

+ + + + + + + + +

Access control policy

+

role-based access control policies

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of roles, users, and associated privileges required to control system access

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing role-based access control policy

+ + + + + Revocation of Access Authorizations + + + + + + +

rules governing the timing of revocations of access authorizations are defined;

+ + + + + + + + + + +

Enforce the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on .

+ + +

Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process acting on behalf of a user) is removed from a group, access may not be revoked until the next time the object is opened or the next time the subject attempts to access the object. Revocation based on changes to security labels may take effect immediately. Organizations provide alternative approaches on how to make revocations immediate if systems cannot provide such capability and immediate revocation is necessary.

+ + + + + +

revocation of access authorizations is enforced, resulting from changes to the security attributes of subjects based on ;

+ + + + +

revocation of access authorizations is enforced resulting from changes to the security attributes of objects based on .

+ + + + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

rules governing revocation of access authorizations, system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access enforcement functions

+ + + + + Controlled Release + + + + + +

the outside system or system component to which to release information is defined;

+ + + + + + + +

controls to be provided by the outside system or system component (defined in AC-03(09)_ODP[01]) are defined;

+ + + + + + + +

controls used to validate appropriateness of information to be released are defined;

+ + + + + + + + + + + + + + + +

Release information outside of the system only if:

+ + +

The receiving provides ; and

+ + + +

are used to validate the appropriateness of the information designated for release.

+ + + +

Organizations can only directly protect information when it resides within the system. Additional controls may be needed to ensure that organizational information is adequately protected once it is transmitted outside of the system. In situations where the system is unable to determine the adequacy of the protections provided by external entities, as a mitigation measure, organizations procedurally determine whether the external systems are providing adequate controls. The means used to determine the adequacy of controls provided by external systems include conducting periodic assessments (inspections/tests), establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security and privacy policy to protect the information and individuals’ privacy.

+

Controlled release of information requires systems to implement technical or procedural means to validate the information prior to releasing it to external systems. For example, if the system passes information to a system controlled by another organization, technical means are employed to validate that the security and privacy attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only authorized individuals gain access to the printer.

+ + + + + +

information is released outside of the system only if the receiving provides ;

+ + + + +

information is released outside of the system only if are used to validate the appropriateness of the information designated for release.

+ + + + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of security and privacy safeguards provided by receiving system or system components

+

list of security and privacy safeguards validating appropriateness of information designated for release

+

system audit records

+

results of period assessments (inspections/tests) of the external system

+

information sharing agreements

+

memoranda of understanding

+

acquisitions/contractual agreements

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with responsibility for acquisitions/contractual agreements

+

legal counsel

+

system developers

+ + + + + + +

Mechanisms implementing access enforcement functions

+ + + + + Audited Override of Access Control Mechanisms + + + + + +

conditions under which to employ an audited override of automated access control mechanisms are defined;

+ + + + + + + +

roles allowed to employ an audited override of automated access control mechanisms are defined;

+ + + + + + + + + + + + + + +

Employ an audited override of automated access control mechanisms under by .

+ + +

In certain situations, such as when there is a threat to human life or an event that threatens the organization’s ability to carry out critical missions or business functions, an override capability for access control mechanisms may be needed. Override conditions are defined by organizations and used only in those limited circumstances. Audit events are defined in AU-2 . Audit records are generated in AU-12.

+ + + +

an audited override of automated access control mechanisms is employed under by .

+ + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

conditions for employing audited override of automated access control mechanisms

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing access enforcement functions

+ + + + + Restrict Access to Specific Information Types + + + + + +

information types requiring restricted access to data repositories are defined;

+ + + + + + + + + + + + + +

Restrict access to data repositories containing .

+ + +

Restricting access to specific information is intended to provide flexibility regarding access control of specific information types within a system. For example, role-based access could be employed to allow access to only a specific type of personally identifiable information within a database rather than allowing access to the database in its entirety. Other examples include restricting access to cryptographic keys, authentication information, and selected system information.

+ + + +

access to data repositories containing is restricted.

+ + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

organizational personnel with responsibilities for data repositories

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing access enforcement functions

+ + + + + Assert and Enforce Application Access + + + + + +

system applications and functions requiring access assertion are defined;

+ + + + + + + + + + + + +

Require applications to assert, as part of the installation process, the access needed to the following system applications and functions: ;

+ + + +

Provide an enforcement mechanism to prevent unauthorized access; and

+ + + +

Approve access changes after initial installation of the application.

+ + + +

Asserting and enforcing application access is intended to address applications that need to access existing system applications and functions, including user contacts, global positioning systems, cameras, keyboards, microphones, networks, phones, or other files.

+ + + + + +

as part of the installation process, applications are required to assert the access needed to the following system applications and functions: ;

+ + + + +

an enforcement mechanism to prevent unauthorized access is provided;

+ + + + +

access changes after initial installation of the application are approved.

+ + + + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing access enforcement functions

+ + + + + Attribute-based Access Control + + + + + + +

attributes to assume access permissions are defined;

+ + + + + + + + + +

Enforce attribute-based access control policy over defined subjects and objects and control access based upon .

+ + +

Attribute-based access control is an access control policy that restricts system access to authorized users based on specified organizational attributes (e.g., job function, identity), action attributes (e.g., read, write, delete), environmental attributes (e.g., time of day, location), and resource attributes (e.g., classification of a document). Organizations can create rules based on attributes and the authorizations (i.e., privileges) to perform needed operations on the systems associated with organization-defined attributes and rules. When users are assigned to attributes defined in attribute-based access control policies or rules, they can be provisioned to a system with the appropriate privileges or dynamically granted access to a protected resource. Attribute-based access control can be implemented as either a mandatory or discretionary form of access control. When implemented with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy.

+ + + + + +

the attribute-based access control policy is enforced over defined subjects;

+ + + + +

the attribute-based access control policy is enforced over defined objects;

+ + + + +

access is controlled based on .

+ + + + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of subjects and objects (i.e., users and resources) requiring enforcement of attribute-based access control policies

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing access enforcement functions

+ + + + + Individual Access + + + + + +

mechanisms enabling individuals to have access to elements of their personally identifiable information are defined;

+ + + + + + + +

elements of personally identifiable information to which individuals have access are defined;

+ + + + + + + + + + + + + + +

Provide to enable individuals to have access to the following elements of their personally identifiable information: .

+ + +

Individual access affords individuals the ability to review personally identifiable information about them held within organizational records, regardless of format. Access helps individuals to develop an understanding about how their personally identifiable information is being processed. It can also help individuals ensure that their data is accurate. Access mechanisms can include request forms and application interfaces. For federal agencies, PRIVACT processes can be located in systems of record notices and on agency websites. Access to certain types of records may not be appropriate (e.g., for federal agencies, law enforcement records within a system of records may be exempt from disclosure under the PRIVACT ) or may require certain levels of authentication assurance. Organizational personnel consult with the senior agency official for privacy and legal counsel to determine appropriate mechanisms and access rights or limitations.

+ + + +

are provided to enable individuals to have access to of their personally identifiable information.

+ + + + + + +

Access mechanisms (e.g., request forms and application interfaces)

+

access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

documentation regarding access to an individual’s personally identifiable information

+

system audit records

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy assessment findings and/or reports

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security and privacy responsibilities

+

legal counsel

+ + + + + + +

Mechanisms implementing access enforcement functions

+

mechanisms enabling individual access to personally identifiable information

+ + + + + Discretionary and Mandatory Access Control + + + + + + + + + + + + + + +

a mandatory access control policy enforced over the set of covered subjects specified in the policy is defined;

+ + + + + + +

a mandatory access control policy enforced over the set of covered objects specified in the policy is defined;

+ + + + + + +

a discretionary access control policy enforced over the set of covered subjects specified in the policy is defined;

+ + + + + + +

a discretionary access control policy enforced over the set of covered objects specified in the policy is defined;

+ + + + + + + + + + + + + + +

Enforce over the set of covered subjects and objects specified in the policy; and

+ + + +

Enforce over the set of covered subjects and objects specified in the policy.

+ + + +

Simultaneously implementing a mandatory access control policy and a discretionary access control policy can provide additional protection against the unauthorized execution of code by users or processes acting on behalf of users. This helps prevent a single compromised user or process from compromising the entire system.

+ + + + + + + +

is enforced over the set of covered subjects specified in the policy;

+ + + + +

is enforced over the set of covered objects specified in the policy;

+ + + + + + + + +

is enforced over the set of covered subjects specified in the policy;

+ + + + +

is enforced over the set of covered objects specified in the policy.

+ + + + + + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies

+

list of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing mandatory and discretionary access control policy

+ + + + + + Information Flow Enforcement + + + + + +

information flow control policies within the system and between connected systems are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on .

+ + +

Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization, keeping export-controlled information from being transmitted in the clear to the Internet, restricting web requests that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see CA-3 ). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces the risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only), verifying write permissions before accepting information from another security or privacy domain or connected system, employing hardware mechanisms to enforce one-way information flows, and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and labels.

+

Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or provide a message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, such as high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf products. Information flow enforcement also applies to control plane traffic (e.g., routing and DNS).

+ + + +

approved authorizations are enforced for controlling the flow of information within the system and between connected systems based on .

+ + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

security architecture documentation

+

privacy architecture documentation

+

system design documentation

+

system configuration settings and associated documentation

+

system baseline configuration

+

list of information flow authorizations

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy architecture development responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + Object Security and Privacy Attributes + + + + + + + + + + + + + + + + + + +

security attributes to be associated with information, source, and destination objects are defined;

+ + + + + + +

privacy attributes to be associated with information, source, and destination objects are defined;

+ + + + + + +

information objects to be associated with information security attributes are defined;

+ + + + + + +

information objects to be associated with privacy attributes are defined;

+ + + + + + +

source objects to be associated with information security attributes are defined;

+ + + + + + +

source objects to be associated with privacy attributes are defined;

+ + + + + + +

destination objects to be associated with information security attributes are defined;

+ + + + + + +

destination objects to be associated with privacy attributes are defined;

+ + + + + + + +

information flow control policies as a basis for enforcement of flow control decisions are defined;

+ + + + + + + + + +

Use associated with to enforce as a basis for flow control decisions.

+ + +

Information flow enforcement mechanisms compare security and privacy attributes associated with information (i.e., data content and structure) and source and destination objects and respond appropriately when the enforcement mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. A dataset of personally identifiable information may be tagged with restrictions against combining with other types of datasets and, thus, would not be allowed to flow to the restricted dataset. Security and privacy attributes can also include source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security or privacy attributes can be used, for example, to control the release of certain types of information.

+ + + + + +

associated with , , and are used to enforce as a basis for flow control decisions;

+ + + + +

associated with , , and are used to enforce as a basis for flow control decisions.

+ + + + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of security and privacy attributes and associated source and destination objects

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + + Processing Domains + + + + + +

information flow control policies to be enforced by use of protected processing domains are defined;

+ + + + + + + + + + +

Use protected processing domains to enforce as a basis for flow control decisions.

+ + +

Protected processing domains within systems are processing spaces that have controlled interactions with other processing spaces, enabling control of information flows between these spaces and to/from information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, system processes are assigned to domains, information is identified by types, and information flows are controlled based on allowed information accesses (i.e., determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.

+ + + +

protected processing domains are used to enforce as a basis for flow control decisions.

+ + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system security architecture and associated documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + + Dynamic Information Flow Control + + + + + +

information flow control policies to be enforced are defined;

+ + + + + + + + + + +

Enforce .

+ + +

Organizational policies regarding dynamic information flow control include allowing or disallowing information flows based on changing conditions or mission or operational considerations. Changing conditions include changes in risk tolerance due to changes in the immediacy of mission or business needs, changes in the threat environment, and detection of potentially harmful or adverse events.

+ + + +

are enforced.

+ + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system security architecture and associated documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + + Flow Control of Encrypted Information + + + + + +

information flow control mechanisms that encrypted information is prevented from bypassing are defined;

+ + + + + + + + + + + + + +

the organization-defined procedure or method used to prevent encrypted information from bypassing information flow control mechanisms is defined (if selected);

+ + + + + + + + + + +

Prevent encrypted information from bypassing by .

+ + +

Flow control mechanisms include content checking, security policy filters, and data type identifiers. The term encryption is extended to cover encoded data not recognized by filtering mechanisms.

+ + + +

encrypted information is prevented from bypassing by .

+ + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + + Embedded Data Types + + + + + +

limitations on embedding data types within other data types are defined;

+ + + + + + + + + +

Enforce on embedding data types within other data types.

+ + +

Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes inserting files as objects within other files and using compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.

+ + + +

are enforced on embedding data types within other data types.

+ + + + + + +

Access control policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of limitations to be enforced on embedding data types within other data types

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + + Metadata + + + + + +

metadata on which to base enforcement of information flow control is defined;

+ + + + + + + + + + + +

Enforce information flow control based on .

+ + +

Metadata is information that describes the characteristics of data. Metadata can include structural metadata describing data structures or descriptive metadata describing data content. Enforcement of allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata regarding data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., employing sufficiently strong binding techniques with appropriate assurance).

+ + + +

information flow control enforcement is based on .

+ + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

types of metadata used to enforce information flow control decisions

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + + One-way Flow Mechanisms + + + + + + + +

Enforce one-way information flows through hardware-based flow control mechanisms.

+ + +

One-way flow mechanisms may also be referred to as a unidirectional network, unidirectional security gateway, or data diode. One-way flow mechanisms can be used to prevent data from being exported from a higher impact or classified domain or system while permitting data from a lower impact or unclassified domain or system to be imported.

+ + + +

one-way information flows are enforced through hardware-based flow control mechanisms.

+ + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system hardware mechanisms and associated configurations

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Hardware mechanisms implementing information flow enforcement policy

+ + + + + Security and Privacy Policy Filters + + + + + + + + + + + + + + + + + + + +

security policy filters to be used as a basis for enforcing information flow control are defined;

+ + + + + + +

privacy policy filters to be used as a basis for enforcing information flow control are defined;

+ + + + + + +

information flows for which information flow control is enforced by security filters are defined;

+ + + + + + +

information flows for which information flow control is enforced by privacy filters are defined;

+ + + + + + + + + + + +

security policy identifying actions to be taken after a filter processing failure are defined;

+ + + + + + +

privacy policy identifying actions to be taken after a filter processing failure are defined;

+ + + + + + + + + + + +

Enforce information flow control using as a basis for flow control decisions for ; and

+ + + +

data after a filter processing failure in accordance with .

+ + + +

Organization-defined security or privacy policy filters can address data structures and content. For example, security or privacy policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security or privacy policy filters for data content can check for specific words, enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the impact or classification level of the information conveyed by the data or the flow enforcement decisions. Unstructured data consists of bitmap objects that are inherently non-language-based (i.e., image, video, or audio files) and textual objects that are based on written or printed languages. Organizations can implement more than one security or privacy policy filter to meet information flow control objectives.

+ + + + + + + +

information flow control is enforced using as a basis for flow control decisions for ;

+ + + + +

information flow control is enforced using as a basis for flow control decisions for ;

+ + + + + + +

data after a filter processing failure in accordance with ;

+

data after a filter processing failure in accordance with .

+ + + + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of security policy filters regulating flow control decisions

+

list of privacy policy filters regulating flow control decisions

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+

security and privacy policy filters

+ + + + + Human Reviews + + + + + +

information flows requiring the use of human reviews are defined;

+ + + + + + + +

conditions under which the use of human reviews for information flows are to be enforced are defined;

+ + + + + + + + + + +

Enforce the use of human reviews for under the following conditions: .

+ + +

Organizations define security or privacy policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of or as a complement to automated security or privacy policy filtering. Human reviews may also be employed as deemed necessary by organizations.

+ + + +

human reviews are used for under .

+ + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

records of human reviews regarding information flows

+

list of information flows requiring the use of human reviews

+

list of conditions requiring human reviews for information flows

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with information flow enforcement responsibilities

+

system developers

+ + + + + + +

Mechanisms enforcing the use of human reviews

+ + + + + Enable and Disable Security or Privacy Policy Filters + + + + + + + + + + + + + + +

security policy filters that privileged administrators have the capability to enable and disable are defined;

+ + + + + + +

privacy policy filters that privileged administrators have the capability to enable and disable are defined;

+ + + + + + +

conditions under which privileged administrators have the capability to enable and disable security policy filters are defined;

+ + + + + + +

conditions under which privileged administrators have the capability to enable and disable privacy policy filters are defined;

+ + + + + + + + + +

Provide the capability for privileged administrators to enable and disable under the following conditions: .

+ + +

For example, as allowed by the system authorization, administrators can enable security or privacy policy filters to accommodate approved data types. Administrators also have the capability to select the filters that are executed on a specific data flow based on the type of data that is being transferred, the source and destination security domains, and other security or privacy relevant features, as needed.

+ + + + + +

capability is provided for privileged administrators to enable and disable under ;

+ + + + +

capability is provided for privileged administrators to enable and disable under .

+ + + + + + + + +

Access control policy

+

information flow information policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of security policy filters enabled/disabled by privileged administrators

+

list of privacy policy filters enabled/disabled by privileged administrators

+

list of approved data types for enabling/disabling by privileged administrators

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for enabling/disabling security and privacy policy filters

+

system/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+

security and privacy policy filters

+ + + + + Configuration of Security or Privacy Policy Filters + + + + + + + + + +

security policy filters that privileged administrators have the capability to configure to support different security and privacy policies are defined;

+ + + + + + +

privacy policy filters that privileged administrators have the capability to configure to support different security and privacy policies are defined;

+ + + + + + + + + +

Provide the capability for privileged administrators to configure to support different security or privacy policies.

+ + +

Documentation contains detailed information for configuring security or privacy policy filters. For example, administrators can configure security or privacy policy filters to include the list of inappropriate words that security or privacy policy mechanisms check in accordance with the definitions provided by organizations.

+ + + + + +

capability is provided for privileged administrators to configure to support different security or privacy policies;

+ + + + +

capability is provided for privileged administrators to configure to support different security or privacy policies.

+ + + + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of security policy filters

+

list of privacy policy filters

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for configuring security and privacy policy filters

+

system/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+

security and privacy policy filters

+ + + + + Data Type Identifiers + + + + + +

data type identifiers to be used to validate data essential for information flow decisions are defined;

+ + + + + + + + + +

When transferring information between different security domains, use to validate data essential for information flow decisions.

+ + +

Data type identifiers include filenames, file types, file signatures or tokens, and multiple internal file signatures or tokens. Systems only allow transfer of data that is compliant with data type format specifications. Identification and validation of data types is based on defined specifications associated with each allowed data format. The filename and number alone are not used for data type identification. Content is validated syntactically and semantically against its specification to ensure that it is the proper data type.

+ + + +

when transferring information between different security domains, are used to validate data essential for information flow decisions.

+ + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of data type identifiers

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + + Decomposition into Policy-relevant Subcomponents + + + + + +

policy-relevant subcomponents into which to decompose information for submission to policy enforcement mechanisms are defined;

+ + + + + + + + + +

When transferring information between different security domains, decompose information into for submission to policy enforcement mechanisms.

+ + +

Decomposing information into policy-relevant subcomponents prior to information transfer facilitates policy decisions on source, destination, certificates, classification, attachments, and other security- or privacy-related component differentiators. Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains.

+ + + +

when transferring information between different security domains, information is decomposed into for submission to policy enforcement mechanisms.

+ + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + + Security or Privacy Policy Filter Constraints + + + + + + + + + +

security policy filters to be implemented that require fully enumerated formats restricting data structure and content have been defined;

+ + + + + + +

privacy policy filters to be implemented that require fully enumerated formats restricting data structure and content are defined;

+ + + + + + + + + +

When transferring information between different security domains, implement requiring fully enumerated formats that restrict data structure and content.

+ + +

Data structure and content restrictions reduce the range of potential malicious or unsanctioned content in cross-domain transactions. Security or privacy policy filters that restrict data structures include restricting file sizes and field lengths. Data content policy filters include encoding formats for character sets, restricting character data fields to only contain alpha-numeric characters, prohibiting special characters, and validating schema structures.

+ + + + + +

when transferring information between different security domains, implemented require fully enumerated formats that restrict data structure and content;

+ + + + +

when transferring information between different security domains, implemented require fully enumerated formats that restrict data structure and content.

+ + + + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of security and privacy policy filters

+

list of data structure policy filters

+

list of data content policy filters

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+

security and privacy policy filters

+ + + + + Detection of Unsanctioned Information + + + + + + + + + + +

unsanctioned information to be detected is defined;

+ + + + + + +

security policy that requires the transfer of unsanctioned information between different security domains to be prohibited is defined (if selected);

+ + + + + + +

privacy policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited is defined (if selected);

+ + + + + + + + + + +

When transferring information between different security domains, examine the information for the presence of and prohibit the transfer of such information in accordance with the .

+ + +

Unsanctioned information includes malicious code, information that is inappropriate for release from the source network, or executable code that could disrupt or harm the services or systems on the destination network.

+ + + + + +

when transferring information between different security domains, information is examined for the presence of ;

+ + + + +

when transferring information between different security domains, transfer of is prohibited in accordance with the ;

+ + + + +

when transferring information between different security domains, transfer of is prohibited in accordance with the .

+ + + + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of unsanctioned information types and associated information

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security responsibilities

+

organizational personnel with privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + + Information Transfers on Interconnected Systems + + + + + + + + + Domain Authentication + + + + + + + + + + + + + + + +

Uniquely identify and authenticate source and destination points by for information transfer.

+ + +

Attribution is a critical component of a security and privacy concept of operations. The ability to identify source and destination points for information flowing within systems allows the forensic reconstruction of events and encourages policy compliance by attributing policy violations to specific organizations or individuals. Successful domain authentication requires that system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information. Attribution also allows organizations to better maintain the lineage of personally identifiable information processing as it flows through systems and can facilitate consent tracking, as well as correction, deletion, or access requests from individuals.

+ + + +

source and destination points are uniquely identified and authenticated by for information transfer.

+ + + + + + +

Access control policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

procedures addressing source and destination domain identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of system labels

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement policy

+ + + + + Security Attribute Binding + + + + + + + + + Validation of Metadata + + + + + + + + + +

security policy filters to be implemented on metadata are defined (if selected);

+ + + + + + +

privacy policy filters to be implemented on metadata are defined (if selected);

+ + + + + + + + + +

When transferring information between different security domains, implement on metadata.

+ + +

All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions and consider metadata and the data to which the metadata applies to be part of the payload.

+ + + + + +

when transferring information between different security domains, are implemented on metadata;

+ + + + +

when transferring information between different security domains, are implemented on metadata.

+ + + + + + + + +

Information flow enforcement policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of security policy filtering criteria applied to metadata and data payloads

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+

security and policy filters

+ + + + + Approved Solutions + + + + + +

solutions in approved configurations to control the flow of information across security domains are defined;

+ + + + + + + +

information to be controlled when it flows across security domains is defined;

+ + + + + + + + + +

Employ to control the flow of across security domains.

+ + +

Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The National Security Agency (NSA) National Cross Domain Strategy and Management Office provides a listing of approved cross-domain solutions. Contact ncdsmo@nsa.gov for more information.

+ + + +

are employed to control the flow of across security domains.

+ + + + + + +

Information flow enforcement policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of solutions in approved configurations

+

approved configuration baselines

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+ + + + + Physical or Logical Separation of Information Flows + + + + + + + + + +

mechanisms and/or techniques used to logically separate information flows are defined (if selected);

+ + + + + + +

mechanisms and/or techniques used to physically separate information flows are defined (if selected);

+ + + + + + + + +

required separations by types of information are defined;

+ + + + + + + + + + + +

Separate information flows logically or physically using to accomplish .

+ + +

Enforcing the separation of information flows associated with defined types of data can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths that are not otherwise achievable. Types of separable information include inbound and outbound communications traffic, service requests and responses, and information of differing security impact or classification levels.

+ + + + + +

information flows are separated logically using to accomplish ;

+ + + + +

information flows are separated physically using to accomplish .

+ + + + + + + + +

Information flow enforcement policy

+

information flow control policies

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

list of required separation of information flows by information types

+

list of mechanisms and/or techniques used to logically or physically separate information flows

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+ + + + + Access Only + + + + + + + +

Provide access from a single device to computing platforms, applications, or data residing in multiple different security domains, while preventing information flow between the different security domains.

+ + +

The system provides a capability for users to access each connected security domain without providing any mechanisms to allow users to transfer data or information between the different security domains. An example of an access-only solution is a terminal that provides a user access to information with different security classifications while assuredly keeping the information separate.

+ + + +

access is provided from a single device to computing platforms, applications, or data that reside in multiple different security domains while preventing information flow between the different security domains.

+ + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+ + + + + Modify Non-releasable Information + + + + + +

modification action implemented on non-releasable information is defined;

+ + + + + + + + + + +

When transferring information between different security domains, modify non-releasable information by implementing .

+ + +

Modifying non-releasable information can help prevent a data spill or attack when information is transferred across security domains. Modification actions include masking, permutation, alteration, removal, or redaction.

+ + + +

when transferring information between security domains, non-releasable information is modified by implementing .

+ + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+ + + + + Internal Normalized Format + + + + + + + +

When transferring information between different security domains, parse incoming data into an internal normalized format and regenerate the data to be consistent with its intended specification.

+ + +

Converting data into normalized forms is one of most of effective mechanisms to stop malicious attacks and large classes of data exfiltration.

+ + + + + +

when transferring information between different security domains, incoming data is parsed into an internal, normalized format;

+ + + + +

when transferring information between different security domains, the data is regenerated to be consistent with its intended specification.

+ + + + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+ + + + + Data Sanitization + + + + + + + + + + +

policy for sanitizing data is defined;

+ + + + + + + + + + +

When transferring information between different security domains, sanitize data to minimize in accordance with .

+ + +

Data sanitization is the process of irreversibly removing or destroying data stored on a memory device (e.g., hard drives, flash memory/solid state drives, mobile devices, CDs, and DVDs) or in hard copy form.

+ + + +

when transferring information between different security domains, data is sanitized to minimize in accordance with .

+ + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+ + + + + Audit Filtering Actions + + + + + + + + + + + +

When transferring information between different security domains, record and audit content filtering actions and results for the information being filtered.

+ + +

Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. Content filtering actions and the results of filtering actions are recorded for individual messages to ensure that the correct filter actions were applied. Content filter reports are used to assist in troubleshooting actions by, for example, determining why message content was modified and/or why it failed the filtering process. Audit events are defined in AU-2 . Audit records are generated in AU-12.

+ + + + + +

when transferring information between different security domains, content-filtering actions are recorded and audited;

+ + + + +

when transferring information between different security domains, results for the information being filtered are recorded and audited.

+ + + + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+

mechanisms implementing content filtering

+

mechanisms recording and auditing content filtering

+ + + + + Redundant/Independent Filtering Mechanisms + + + + + + + +

When transferring information between different security domains, implement content filtering solutions that provide redundant and independent filtering mechanisms for each data type.

+ + +

Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. Redundant and independent content filtering eliminates a single point of failure filtering system. Independence is defined as the implementation of a content filter that uses a different code base and supporting libraries (e.g., two JPEG filters using different vendors’ JPEG libraries) and multiple, independent system processes.

+ + + +

when transferring information between security domains, implemented content filtering solutions provide redundant and independent filtering mechanisms for each data type.

+ + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+ + + + + Linear Filter Pipelines + + + + + + + +

When transferring information between different security domains, implement a linear content filter pipeline that is enforced with discretionary and mandatory access controls.

+ + +

Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. The use of linear content filter pipelines ensures that filter processes are non-bypassable and always invoked. In general, the use of parallel filtering architectures for content filtering of a single data type introduces bypass and non-invocation issues.

+ + + +

when transferring information between security domains, a linear content filter pipeline is implemented that is enforced with discretionary and mandatory access controls.

+ + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+

mechanisms implementing linear content filters

+ + + + + Filter Orchestration Engines + + + + + +

policy for content-filtering actions is defined;

+ + + + + + + + + + +

When transferring information between different security domains, employ content filter orchestration engines to ensure that:

+ + +

Content filtering mechanisms successfully complete execution without errors; and

+ + + +

Content filtering actions occur in the correct order and comply with .

+ + + +

Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined security policy. An orchestration engine coordinates the sequencing of activities (manual and automated) in a content filtering process. Errors are defined as either anomalous actions or unexpected termination of the content filter process. This is not the same as a filter failing content due to non-compliance with policy. Content filter reports are a commonly used mechanism to ensure that expected filtering actions are completed successfully.

+ + + + + +

when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering mechanisms successfully complete execution without errors;

+ + + + + + +

when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering actions occur in the correct order;

+ + + + +

when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering actions comply with .

+ + + + + + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+

mechanisms implementing content filter orchestration engines

+ + + + + Filter Mechanisms Using Multiple Processes + + + + + + + +

When transferring information between different security domains, implement content filtering mechanisms using multiple processes.

+ + +

The use of multiple processes to implement content filtering mechanisms reduces the likelihood of a single point of failure.

+ + + +

when transferring information between security domains, content-filtering mechanisms using multiple processes are implemented.

+ + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+

mechanisms implementing content filtering

+ + + + + Failed Content Transfer Prevention + + + + + + + +

When transferring information between different security domains, prevent the transfer of failed content to the receiving domain.

+ + +

Content that failed filtering checks can corrupt the system if transferred to the receiving domain.

+ + + +

when transferring information between different security domains, the transfer of failed content to the receiving domain is prevented.

+ + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+ + + + + Process Requirements for Information Transfer + + + + + + + +

When transferring information between different security domains, the process that transfers information between filter pipelines:

+ + +

Does not filter message content;

+ + + +

Validates filtering metadata;

+ + + +

Ensures the content associated with the filtering metadata has successfully completed filtering; and

+ + + +

Transfers the content to the destination filter pipeline.

+ + + +

The processes transferring information between filter pipelines have minimum complexity and functionality to provide assurance that the processes operate correctly.

+ + + + + +

when transferring information between different security domains, the process that transfers information between filter pipelines does not filter message content;

+ + + + +

when transferring information between different security domains, the process that transfers information between filter pipelines validates filtering metadata;

+ + + + +

when transferring information between different security domains, the process that transfers information between filter pipelines ensures that the content with the filtering metadata has successfully completed filtering;

+ + + + +

when transferring information between different security domains, the process that transfers information between filter pipelines transfers the content to the destination filter pipeline.

+ + + + + + + + +

Information flow enforcement policy

+

procedures addressing information flow enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information flow enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing information flow enforcement functions

+

mechanisms implementing content filtering

+ + + + + + Separation of Duties + + + + + + +

duties of individuals requiring separation are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + +

Identify and document ; and

+ + + +

Define system access authorizations to support separation of duties.

+ + + +

Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes dividing mission or business functions and support functions among different individuals or roles, conducting system support functions with different individuals, and ensuring that security personnel who administer access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of systems and system components when developing policy on separation of duties. Separation of duties is enforced through the account management activities in AC-2 , access control mechanisms in AC-3 , and identity management activities in IA-2, IA-4 , and IA-12.

+ + + + + +

are identified and documented;

+ + + + +

system access authorizations to support separation of duties are defined.

+ + + + + + + + +

Access control policy

+

procedures addressing divisions of responsibility and separation of duties

+

system configuration settings and associated documentation

+

list of divisions of responsibility and separation of duties

+

system access authorizations

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing separation of duties policy

+ + + + + Least Privilege + + + + + + + + + + + + + + + + + + +

Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks.

+ + +

Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems.

+ + + +

the principle of least privilege is employed, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks.

+ + + + + + +

Access control policy

+

procedures addressing least privilege

+

list of assigned access authorizations (user privileges)

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing least privilege functions

+ + + + Authorize Access to Security Functions + + + + + + + + + + + + +

individuals and roles with authorized access to security functions and security-relevant information are defined;

+ + + + + + +

security functions (deployed in hardware) for authorized access are defined;

+ + + + + + +

security functions (deployed in software) for authorized access are defined;

+ + + + + + +

security functions (deployed in firmware) for authorized access are defined;

+ + + + + + + +

security-relevant information for authorized access is defined;

+ + + + + + + + + + + + + + +

Authorize access for to:

+ + +

; and

+ + + +

.

+ + + +

Security functions include establishing system accounts, configuring access authorizations (i.e., permissions, privileges), configuring settings for events to be audited, and establishing intrusion detection parameters. Security-relevant information includes filtering rules for routers or firewalls, configuration parameters for security services, cryptographic key management information, and access control lists. Authorized personnel include security administrators, system administrators, system security officers, system programmers, and other privileged users.

+ + + + + + + +

access is authorized for to ;

+ + + + +

access is authorized for to ;

+ + + + +

access is authorized for to ;

+ + + + + + +

access is authorized for to .

+ + + + + + + + +

Access control policy

+

procedures addressing least privilege

+

list of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing least privilege functions

+ + + + + Non-privileged Access for Nonsecurity Functions + + + + + +

security functions or security-relevant information, the access to which requires users to use non-privileged accounts to access non-security functions, are defined;

+ + + + + + + + + + + + + +

Require that users of system accounts (or roles) with access to use non-privileged accounts or roles, when accessing nonsecurity functions.

+ + +

Requiring the use of non-privileged accounts when accessing nonsecurity functions limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies, such as role-based access control, and where a change of role provides the same degree of assurance in the change of access authorizations for the user and the processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.

+ + + +

users of system accounts (or roles) with access to are required to use non-privileged accounts or roles when accessing non-security functions.

+ + + + + + +

Access control policy

+

procedures addressing least privilege

+

list of system-generated security functions or security-relevant information assigned to system accounts or roles

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing least privilege functions

+ + + + + Network Access to Privileged Commands + + + + + +

privileged commands to which network access is to be authorized only for compelling operational needs are defined;

+ + + + + + + +

compelling operational needs necessitating network access to privileged commands are defined;

+ + + + + + + + + + + + +

Authorize network access to only for and document the rationale for such access in the security plan for the system.

+ + +

Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).

+ + + + + +

network access to is authorized only for ;

+ + + + +

the rationale for authorizing network access to privileged commands is documented in the security plan for the system.

+ + + + + + + + +

Access control policy

+

procedures addressing least privilege

+

system configuration settings and associated documentation

+

system audit records

+

list of operational needs for authorizing network access to privileged commands

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing least privilege functions

+ + + + + Separate Processing Domains + + + + + + + + + + + + + + +

Provide separate processing domains to enable finer-grained allocation of user privileges.

+ + +

Providing separate processing domains for finer-grained allocation of user privileges includes using virtualization techniques to permit additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying physical machine, implementing separate physical domains, and employing hardware or software domain separation mechanisms.

+ + + +

separate processing domains are provided to enable finer-grain allocation of user privileges.

+ + + + + + +

Access control policy

+

procedures addressing least privilege

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing least privilege functions

+ + + + + Privileged Accounts + + + + + +

personnel or roles to which privileged accounts on the system are to be restricted is/are defined;

+ + + + + + + + + + + + +

Restrict privileged accounts on the system to .

+ + +

Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from accessing privileged information or privileged functions. Organizations may differentiate in the application of restricting privileged accounts between allowed privileges for local accounts and for domain accounts provided that they retain the ability to control system configurations for key parameters and as otherwise necessary to sufficiently mitigate risk.

+ + + +

privileged accounts on the system are restricted to .

+ + + + + + +

Access control policy

+

procedures addressing least privilege

+

list of system-generated privileged accounts

+

list of system administration personnel

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing least privilege functions

+ + + + + Privileged Access by Non-organizational Users + + + + + + + + + + + +

Prohibit privileged access to the system by non-organizational users.

+ + +

An organizational user is an employee or an individual considered by the organization to have the equivalent status of an employee. Organizational users include contractors, guest researchers, or individuals detailed from other organizations. A non-organizational user is a user who is not an organizational user. Policies and procedures for granting equivalent status of employees to individuals include a need-to-know, citizenship, and the relationship to the organization.

+ + + +

privileged access to the system by non-organizational users is prohibited.

+ + + + + + +

Access control policy

+

procedures addressing least privilege

+

list of system-generated privileged accounts

+

list of non-organizational users

+

system configuration settings and associated documentation

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms prohibiting privileged access to the system

+ + + + + Review of User Privileges + + + + + +

the frequency at which to review the privileges assigned to roles or classes of users is defined;

+ + + + + + + + +

roles or classes of users to which privileges are assigned are defined;

+ + + + + + + + + + + + +

Review the privileges assigned to to validate the need for such privileges; and

+ + + +

Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs.

+ + + +

The need for certain assigned user privileges may change over time to reflect changes in organizational mission and business functions, environments of operation, technologies, or threats. A periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.

+ + + + + +

privileges assigned to are reviewed to validate the need for such privileges;

+ + + + +

privileges are reassigned or removed, if necessary, to correctly reflect organizational mission and business needs.

+ + + + + + + + +

Access control policy

+

procedures addressing least privilege

+

list of system-generated roles or classes of users and assigned privileges

+

system design documentation

+

system configuration settings and associated documentation

+

validation reviews of privileges assigned to roles or classes or users

+

records of privilege removals or reassignments for roles or classes of users

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing review of user privileges

+ + + + + Privilege Levels for Code Execution + + + + + +

software to be prevented from executing at higher privilege levels than users executing the software is defined;

+ + + + + + + + + +

Prevent the following software from executing at higher privilege levels than users executing the software: .

+ + +

In certain situations, software applications or programs need to execute with elevated privileges to perform required functions. However, depending on the software functionality and configuration, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications or programs, those users may indirectly be provided with greater privileges than assigned.

+ + + +

is prevented from executing at higher privilege levels than users executing the software.

+ + + + + + +

Access control policy

+

procedures addressing least privilege

+

list of software that should not execute at higher privilege levels than users executing software

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing least privilege functions for software execution

+ + + + + Log Use of Privileged Functions + + + + + + + + + + +

Log the execution of privileged functions.

+ + +

The misuse of privileged functions, either intentionally or unintentionally by authorized users or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Logging and analyzing the use of privileged functions is one way to detect such misuse and, in doing so, help mitigate the risk from insider threats and the advanced persistent threat.

+ + + +

the execution of privileged functions is logged.

+ + + + + + +

Access control policy

+

procedures addressing least privilege

+

system design documentation

+

system configuration settings and associated documentation

+

list of privileged functions to be audited

+

list of audited events

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms auditing the execution of least privilege functions

+ + + + + Prohibit Non-privileged Users from Executing Privileged Functions + + + + + + + +

Prevent non-privileged users from executing privileged functions.

+ + +

Privileged functions include disabling, circumventing, or altering implemented security or privacy controls, establishing system accounts, performing system integrity checks, and administering cryptographic key management activities. Non-privileged users are individuals who do not possess appropriate authorizations. Privileged functions that require protection from non-privileged users include circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms. Preventing non-privileged users from executing privileged functions is enforced by AC-3.

+ + + +

non-privileged users are prevented from executing privileged functions.

+ + + + + + +

Access control policy

+

procedures addressing least privilege

+

system design documentation

+

system configuration settings and associated documentation

+

list of privileged functions and associated user account assignments

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing least privilege functions for non-privileged users

+ + + + + + Unsuccessful Logon Attempts + + + + + +

the number of consecutive invalid logon attempts by a user allowed during a time period is defined;

+ + + + + + + +

the time period to which the number of consecutive invalid logon attempts by a user is limited is defined;

+ + + + + + + + + + + + +

time period for an account or node to be locked is defined (if selected);

+ + + + + + + +

delay algorithm for the next logon prompt is defined (if selected);

+ + + + + + + +

other action to be taken when the maximum number of unsuccessful attempts is exceeded is defined (if selected);

+ + + + + + + + + + + + + + + + + +

Enforce a limit of consecutive invalid logon attempts by a user during a ; and

+ + + +

Automatically when the maximum number of unsuccessful attempts is exceeded.

+ + + +

The need to limit unsuccessful logon attempts and take subsequent action when the maximum number of attempts is exceeded applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by systems are usually temporary and automatically release after a predetermined, organization-defined time period. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at the operating system and the application levels. Organization-defined actions that may be taken when the number of allowed consecutive invalid logon attempts is exceeded include prompting the user to answer a secret question in addition to the username and password, invoking a lockdown mode with limited user capabilities (instead of full lockout), allowing users to only logon from specified Internet Protocol (IP) addresses, requiring a CAPTCHA to prevent automated attacks, or applying user profiles such as location, time of day, IP address, device, or Media Access Control (MAC) address. If automatic system lockout or execution of a delay algorithm is not implemented in support of the availability objective, organizations consider a combination of other actions to help prevent brute force attacks. In addition to the above, organizations can prompt users to respond to a secret question before the number of allowed unsuccessful logon attempts is exceeded. Automatically unlocking an account after a specified period of time is generally not permitted. However, exceptions may be required based on operational mission or need.

+ + + + + +

a limit of consecutive invalid logon attempts by a user during is enforced;

+ + + + +

automatically when the maximum number of unsuccessful attempts is exceeded.

+ + + + + + + + +

Access control policy

+

procedures addressing unsuccessful logon attempts

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security responsibilities

+

system developers

+

system/network administrators

+ + + + + + +

Mechanisms implementing access control policy for unsuccessful logon attempts

+ + + + Automatic Account Lock + + + + + + + + + Purge or Wipe Mobile Device + + + + + +

mobile devices to be purged or wiped of information are defined;

+ + + + + + + + +

purging and wiping requirements and techniques to be used when mobile devices are purged or wiped of information are defined;

+ + + + + + + +

the number of consecutive, unsuccessful logon attempts before the information is purged or wiped from mobile devices is defined;

+ + + + + + + + + + + + +

Purge or wipe information from based on after consecutive, unsuccessful device logon attempts.

+ + +

A mobile device is a computing device that has a small form factor such that it can be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Purging or wiping the device applies only to mobile devices for which the organization-defined number of unsuccessful logons occurs. The logon is to the mobile device, not to any one account on the device. Successful logons to accounts on mobile devices reset the unsuccessful logon count to zero. Purging or wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.

+ + + +

information is purged or wiped from based on after consecutive, unsuccessful device logon attempts.

+ + + + + + +

Access control policy

+

procedures addressing unsuccessful logon attempts on mobile devices

+

system design documentation

+

system configuration settings and associated documentation

+

list of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts

+

list of purging/wiping requirements or techniques for mobile devices

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing access control policy for unsuccessful device logon attempts

+ + + + + Biometric Attempt Limiting + + + + + +

the number of unsuccessful biometric logon attempts is defined;

+ + + + + + + + + + +

Limit the number of unsuccessful biometric logon attempts to .

+ + +

Biometrics are probabilistic in nature. The ability to successfully authenticate can be impacted by many factors, including matching performance and presentation attack detection mechanisms. Organizations select the appropriate number of attempts for users based on organizationally-defined factors.

+ + + +

unsuccessful biometric logon attempts are limited to .

+ + + + + + +

Access control policy

+

procedures addressing unsuccessful logon attempts on biometric devices

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing access control policy for unsuccessful logon attempts

+ + + + + Use of Alternate Authentication Factor + + + + + +

authentication factors allowed to be used that are different from the primary authentication factors are defined;

+ + + + + + + +

the number of consecutive, invalid logon attempts through the use of alternative factors for which to enforce a limit by a user is defined;

+ + + + + + + +

time period during which a user can attempt logons through alternative factors is defined;

+ + + + + + + + + + + + + +

Allow the use of that are different from the primary authentication factors after the number of organization-defined consecutive invalid logon attempts have been exceeded; and

+ + + +

Enforce a limit of consecutive invalid logon attempts through use of the alternative factors by a user during a .

+ + + +

The use of alternate authentication factors supports the objective of availability and allows a user who has inadvertently been locked out to use additional authentication factors to bypass the lockout.

+ + + + + +

that are different from the primary authentication factors are allowed to be used after the number of organization-defined consecutive invalid logon attempts have been exceeded;

+ + + + +

a limit of consecutive invalid logon attempts through the use of the alternative factors by the user during a is enforced.

+ + + + + + + + +

Access control policy

+

procedures addressing unsuccessful logon attempts for primary and alternate authentication factors

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing access control policy for unsuccessful logon attempts

+ + + + + + System Use Notification + + + + + + +

system use notification message or banner to be displayed by the system to users before granting access to the system is defined;

+ + + + + + + +

conditions for system use to be displayed by the system before granting further access are defined;

+ + + + + + + + + + + + + + +

Display to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that:

+ + +

Users are accessing a U.S. Government system;

+ + + +

System usage may be monitored, recorded, and subject to audit;

+ + + +

Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and

+ + + +

Use of the system indicates consent to monitoring and recording;

+ + + + +

Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and

+ + + +

For publicly accessible systems:

+ + +

Display system use information , before granting further access to the publicly accessible system;

+ + + +

Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and

+ + + +

Include a description of the authorized uses of the system.

+ + + + +

System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations consult with the privacy office for input regarding privacy messaging and the Office of the General Counsel or organizational equivalent for legal review and approval of warning banner content.

+ + + + + +

is displayed to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + +

the system use notification states that users are accessing a U.S. Government system;

+ + + + +

the system use notification states that system usage may be monitored, recorded, and subject to audit;

+ + + + +

the system use notification states that unauthorized use of the system is prohibited and subject to criminal and civil penalties; and

+ + + + +

the system use notification states that use of the system indicates consent to monitoring and recording;

+ + + + + + +

the notification message or banner is retained on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system;

+ + + + + + +

for publicly accessible systems, system use information is displayed before granting further access to the publicly accessible system;

+ + + + +

for publicly accessible systems, any references to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities are displayed;

+ + + + +

for publicly accessible systems, a description of the authorized uses of the system is included.

+ + + + + + + + + + +

Access control policy

+

privacy and security policies, procedures addressing system use notification

+

documented approval of system use notification messages or banners

+

system audit records

+

user acknowledgements of notification message or banner

+

system design documentation

+

system configuration settings and associated documentation

+

system use notification messages

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy assessment report

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

legal counsel

+

system developers

+ + + + + + +

Mechanisms implementing system use notification

+ + + + + Previous Logon Notification + + + + + + + + +

Notify the user, upon successful logon to the system, of the date and time of the last logon.

+ + +

Previous logon notification is applicable to system access via human user interfaces and access to systems that occurs in other types of architectures. Information about the last successful logon allows the user to recognize if the date and time provided is not consistent with the user’s last access.

+ + + +

the user is notified, upon successful logon to the system, of the date and time of the last logon.

+ + + + + + +

Access control policy

+

procedures addressing previous logon notification

+

system design documentation

+

system configuration settings and associated documentation

+

system notification messages

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access control policy for previous logon notification

+ + + + Unsuccessful Logons + + + + + + + +

Notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon.

+ + +

Information about the number of unsuccessful logon attempts since the last successful logon allows the user to recognize if the number of unsuccessful logon attempts is consistent with the user’s actual logon attempts.

+ + + +

the user is notified, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon.

+ + + + + + +

Access control policy

+

procedures addressing previous logon notification

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access control policy for previous logon notification

+ + + + + Successful and Unsuccessful Logons + + + + + + + + + + +

the time period for which the system notifies the user of the number of successful logons, unsuccessful logon attempts, or both is defined;

+ + + + + + + + + +

Notify the user, upon successful logon, of the number of during .

+ + +

Information about the number of successful and unsuccessful logon attempts within a specified time period allows the user to recognize if the number and type of logon attempts are consistent with the user’s actual logon attempts.

+ + + +

the user is notified, upon successful logon, of the number of during .

+ + + + + + +

Access control policy

+

procedures addressing previous logon notification

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access control policy for previous logon notification

+ + + + + Notification of Account Changes + + + + + + +

changes to security-related characteristics or parameters of the user’s account that require notification are defined;

+ + + + + + + +

the time period for which the system notifies the user of changes to security-related characteristics or parameters of the user’s account is defined;

+ + + + + + + + + +

Notify the user, upon successful logon, of changes to during .

+ + +

Information about changes to security-related account characteristics within a specified time period allows users to recognize if changes were made without their knowledge.

+ + + +

the user is notified, upon successful logon, of changes to during .

+ + + + + + +

Access control policy

+

procedures addressing previous logon notification

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access control policy for previous logon notification

+ + + + + Additional Logon Information + + + + + +

additional information about which to notify the user is defined;

+ + + + + + + + + +

Notify the user, upon successful logon, of the following additional information: .

+ + +

Organizations can specify additional information to be provided to users upon logon, including the location of the last logon. User location is defined as information that can be determined by systems, such as Internet Protocol (IP) addresses from which network logons occurred, notifications of local logons, or device identifiers.

+ + + +

the user is notified, upon successful logon, of .

+ + + + + + +

Access control policy

+

procedures addressing previous logon notification

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access control policy for previous logon notification

+ + + + + + Concurrent Session Control + + + + + + +

accounts and/or account types for which to limit the number of concurrent sessions is defined;

+ + + + + + + +

the number of concurrent sessions to be allowed for each account and/or account type is defined;

+ + + + + + + + + +

Limit the number of concurrent sessions for each to .

+ + +

Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or any combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. Concurrent session control addresses concurrent sessions for system accounts. It does not, however, address concurrent sessions by single users via multiple system accounts.

+ + + +

the number of concurrent sessions for each is limited to .

+ + + + + + +

Access control policy

+

procedures addressing concurrent session control

+

system design documentation

+

system configuration settings and associated documentation

+

security plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access control policy for concurrent session control

+ + + + + Device Lock + + + + + + + + + + +

time period of inactivity after which a device lock is initiated is defined (if selected);

+ + + + + + + + + + + + + + +

Prevent further access to the system by ; and

+ + + +

Retain the device lock until the user reestablishes access using established identification and authentication procedures.

+ + + +

Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks can be implemented at the operating system level or at the application level. A proximity lock may be used to initiate the device lock (e.g., via a Bluetooth-enabled device or dongle). User-initiated device locking is behavior or policy-based and, as such, requires users to take physical action to initiate the device lock. Device locks are not an acceptable substitute for logging out of systems, such as when organizations require users to log out at the end of workdays.

+ + + + + +

further access to the system is prevented by ;

+ + + + +

device lock is retained until the user re-establishes access using established identification and authentication procedures.

+ + + + + + + + +

Access control policy

+

procedures addressing session lock

+

procedures addressing identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

security plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access control policy for session lock

+ + + + Pattern-hiding Displays + + + + + + + +

Conceal, via the device lock, information previously visible on the display with a publicly viewable image.

+ + +

The pattern-hiding display can include static or dynamic images, such as patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen with the caveat that controlled unclassified information is not displayed.

+ + + +

information previously visible on the display is concealed, via device lock, with a publicly viewable image.

+ + + + + + +

Access control policy

+

procedures addressing session lock

+

display screen with session lock activated

+

system design documentation

+

system configuration settings and associated documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

System session lock mechanisms

+ + + + + + Session Termination + + + + + + +

conditions or trigger events requiring session disconnect are defined;

+ + + + + + + + + + + +

Automatically terminate a user session after .

+ + +

Session termination addresses the termination of user-initiated logical sessions (in contrast to SC-10 , which addresses the termination of network connections associated with communications sessions (i.e., network disconnect)). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination ends all processes associated with a user’s logical session except for those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events that require automatic termination of the session include organization-defined periods of user inactivity, targeted responses to certain types of incidents, or time-of-day restrictions on system use.

+ + + +

a user session is automatically terminated after .

+ + + + + + +

Access control policy

+

procedures addressing session termination

+

system design documentation

+

system configuration settings and associated documentation

+

list of conditions or trigger events requiring session disconnect

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Automated mechanisms implementing user session termination

+ + + + User-initiated Logouts + + + + + +

information resources for which a logout capability for user-initiated communications sessions is required are defined;

+ + + + + + + + + + +

Provide a logout capability for user-initiated communications sessions whenever authentication is used to gain access to .

+ + +

Information resources to which users gain access via authentication include local workstations, databases, and password-protected websites or web-based services.

+ + + +

a logout capability is provided for user-initiated communications sessions whenever authentication is used to gain access to .

+ + + + + + +

Access control policy

+

procedures addressing session termination

+

user logout messages

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

System session termination mechanisms

+

logout capabilities for user-initiated communications sessions

+ + + + + Termination Message + + + + + + + +

Display an explicit logout message to users indicating the termination of authenticated communications sessions.

+ + +

Logout messages for web access can be displayed after authenticated sessions have been terminated. However, for certain types of sessions, including file transfer protocol (FTP) sessions, systems typically send logout messages as final messages prior to terminating sessions.

+ + + +

an explicit logout message is displayed to users indicating the termination of authenticated communication sessions.

+ + + + + + +

Access control policy

+

procedures addressing session termination

+

user logout messages

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

System session termination mechanisms

+

display of logout messages

+ + + + + Timeout Warning Message + + + + + + +

time until the end of session for display to users is defined;

+ + + + + + + + + +

Display an explicit message to users indicating that the session will end in .

+ + +

To increase usability, notify users of pending session termination and prompt users to continue the session. The pending session termination time period is based on the parameters defined in the AC-12 base control.

+ + + +

an explicit message to users is displayed indicating that the session will end in .

+ + + + + + +

Access control policy

+

procedures addressing session termination

+

time until end of session messages

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

System session termination mechanisms

+

display of end of session time

+ + + + + + Supervision and Review — Access Control + + + + + + + + + + Permitted Actions Without Identification or Authentication + + + + + +

user actions that can be performed on the system without identification or authentication are defined;

+ + + + + + + + + + + + + +

Identify that can be performed on the system without identification or authentication consistent with organizational mission and business functions; and

+ + + +

Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication.

+ + + +

Specific user actions may be permitted without identification or authentication if organizations determine that identification and authentication are not required for the specified user actions. Organizations may allow a limited number of user actions without identification or authentication, including when individuals access public websites or other publicly accessible federal systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations identify actions that normally require identification or authentication but may, under certain circumstances, allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. Permitting actions without identification or authentication does not apply to situations where identification and authentication have already occurred and are not repeated but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational systems without identification and authentication, and therefore, the value for the assignment operation can be none.

+ + + + + +

that can be performed on the system without identification or authentication consistent with organizational mission and business functions are identified;

+ + + + + + +

user actions not requiring identification or authentication are documented in the security plan for the system;

+ + + + +

a rationale for user actions not requiring identification or authentication is provided in the security plan for the system.

+ + + + + + + + + + +

Access control policy

+

procedures addressing permitted actions without identification or authentication

+

system configuration settings and associated documentation

+

security plan

+

list of user actions that can be performed without identification or authentication

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + Necessary Uses + + + + + + + + + + Automated Marking + + + + + + + + + Security and Privacy Attributes + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

types of security attributes to be associated with information security attribute values for information in storage, in process, and/or in transmission are defined;

+ + + + + + +

types of privacy attributes to be associated with privacy attribute values for information in storage, in process, and/or in transmission are defined;

+ + + + + + +

security attribute values for types of security attributes are defined;

+ + + + + + +

privacy attribute values for types of privacy attributes are defined;

+ + + + + + +

systems for which permitted security attributes are to be established are defined;

+ + + + + + +

systems for which permitted privacy attributes are to be established are defined;

+ + + + + + +

security attributes defined as part of AC-16a that are permitted for systems are defined;

+ + + + + + +

privacy attributes defined as part of AC-16a that are permitted for systems are defined;

+ + + + + + + + +

attribute values or ranges for established attributes are defined;

+ + + + + + +

the frequency at which to review security attributes for applicability is defined;

+ + + + + + +

the frequency at which to review privacy attributes for applicability is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Provide the means to associate with for information in storage, in process, and/or in transmission;

+ + + +

Ensure that the attribute associations are made and retained with the information;

+ + + +

Establish the following permitted security and privacy attributes from the attributes defined in AC-16a for : ;

+ + + +

Determine the following permitted attribute values or ranges for each of the established attributes: ;

+ + + +

Audit changes to attributes; and

+ + + +

Review for applicability .

+ + + +

Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures, such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions that represent the basic properties or characteristics of active and passive entities with respect to safeguarding information. Privacy attributes, which may be used independently or in conjunction with security attributes, represent the basic properties or characteristics of active or passive entities with respect to the management of personally identifiable information. Attributes can be either explicitly or implicitly associated with the information contained in organizational systems or system components.

+

Attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, cause information to flow among objects, or change the system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of attributes to subjects and objects by a system is referred to as binding and is inclusive of setting the attribute value and the attribute type. Attributes, when bound to data or information, permit the enforcement of security and privacy policies for access control and information flow control, including data retention limits, permitted uses of personally identifiable information, and identification of personal information within data objects. Such enforcement occurs through organizational processes or system functions or mechanisms. The binding techniques implemented by systems affect the strength of attribute binding to information. Binding strength and the assurance associated with binding techniques play important parts in the trust that organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations. The content or assigned values of attributes can directly affect the ability of individuals to access organizational information.

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Organizations can define the types of attributes needed for systems to support missions or business functions. There are many values that can be assigned to a security attribute. By specifying the permitted attribute ranges and values, organizations ensure that attribute values are meaningful and relevant. Labeling refers to the association of attributes with the subjects and objects represented by the internal data structures within systems. This facilitates system-based enforcement of information security and privacy policies. Labels include classification of information in accordance with legal and compliance requirements (e.g., top secret, secret, confidential, controlled unclassified), information impact level; high value asset information, access authorizations, nationality; data life cycle protection (i.e., encryption and data expiration), personally identifiable information processing permissions, including individual consent to personally identifiable information processing, and contractor affiliation. A related term to labeling is marking. Marking refers to the association of attributes with objects in a human-readable form and displayed on system media. Marking enables manual, procedural, or process-based enforcement of information security and privacy policies. Security and privacy labels may have the same value as media markings (e.g., top secret, secret, confidential). See MP-3 (Media Marking).

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the means to associate with for information in storage, in process, and/or in transmission are provided;

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the means to associate with for information in storage, in process, and/or in transmission are provided;

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attribute associations are made;

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attribute associations are retained with the information;

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the following permitted security attributes are established from the attributes defined in AC-16_ODP[01] for : ;

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the following permitted privacy attributes are established from the attributes defined in AC-16_ODP[02] for : ;

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the following permitted attribute values or ranges for each of the established attributes are determined: ;

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changes to attributes are audited;

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are reviewed for applicability ;

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are reviewed for applicability .

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Access control policy

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procedures addressing the association of security and privacy attributes to information in storage, in process, and in transmission

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system design documentation

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system configuration settings and associated documentation

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system audit records

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system security plan

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privacy plan

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other relevant documents or records

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System/network administrators

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organizational personnel with information security and privacy responsibilities

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system developers

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Organizational capability supporting and maintaining the association of security and privacy attributes to information in storage, in process, and in transmission

+ + + + Dynamic Attribute Association + + + + + + + + + + + + + + + + +

subjects with which security attributes are to be dynamically associated as information is created and combined are defined;

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objects with which security attributes are to be dynamically associated as information is created and combined are defined;

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subjects with which privacy attributes are to be dynamically associated as information is created and combined are defined;

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objects with which privacy attributes are to be dynamically associated as information is created and combined are defined;

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security policies requiring dynamic association of security attributes with subjects and objects are defined;

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privacy policies requiring dynamic association of privacy attributes with subjects and objects are defined;

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Dynamically associate security and privacy attributes with in accordance with the following security and privacy policies as information is created and combined: .

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Dynamic association of attributes is appropriate whenever the security or privacy characteristics of information change over time. Attributes may change due to information aggregation issues (i.e., characteristics of individual data elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), changes in the security category of information, or changes in security or privacy policies. Attributes may also change situationally.

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security attributes are dynamically associated with in accordance with the following security policies as information is created and combined: ;

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security attributes are dynamically associated with in accordance with the following security policies as information is created and combined: ;

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privacy attributes are dynamically associated with in accordance with the following privacy policies as information is created and combined: ;

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privacy attributes are dynamically associated with in accordance with the following privacy policies as information is created and combined: .

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Access control policy

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procedures addressing dynamic association of security and privacy attributes to information

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system design documentation

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system configuration settings and associated documentation

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system audit records

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system security plan

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privacy plan

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other relevant documents or records

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System/network administrators

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organizational personnel with information security and privacy responsibilities

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system developers

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Automated mechanisms implementing dynamic association of security and privacy attributes to information

+ + + + + Attribute Value Changes by Authorized Individuals + + + + + + + +

Provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security and privacy attributes.

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The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals.

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authorized individuals (or processes acting on behalf of individuals) are provided with the capability to define or change the value of associated security attributes;

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authorized individuals (or processes acting on behalf of individuals) are provided with the capability to define or change the value of associated privacy attributes.

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Access control policy

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procedures addressing the change of security and privacy attribute values

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system design documentation

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system configuration settings and associated documentation

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list of individuals authorized to change security and privacy attributes

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system audit records

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with responsibilities for changing values of security and privacy attributes

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organizational personnel with information security and privacy responsibilities

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system developers

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Mechanisms permitting changes to values of security and privacy attributes

+ + + + + Maintenance of Attribute Associations by System + + + + + + + + + + + + + + + + +

security attributes that require association and integrity maintenance are defined;

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privacy attributes that require association and integrity maintenance are defined;

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subjects requiring the association and integrity of security attributes to such subjects to be maintained are defined;

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objects requiring the association and integrity of security attributes to such objects to be maintained are defined;

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subjects requiring the association and integrity of privacy attributes to such subjects to be maintained are defined;

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objects requiring the association and integrity of privacy attributes to such objects to be maintained are defined;

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Maintain the association and integrity of to .

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Maintaining the association and integrity of security and privacy attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. The integrity of specific items, such as security configuration files, may be maintained through the use of an integrity monitoring mechanism that detects anomalies and changes that deviate from known good baselines. Automated policy actions include retention date expirations, access control decisions, information flow control decisions, and information disclosure decisions.

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the association and integrity of to is maintained;

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the association and integrity of to is maintained.

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the association and integrity of to is maintained;

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the association and integrity of to is maintained.

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Access control policy

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procedures addressing the association of security and privacy attributes to information

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procedures addressing labeling or marking

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system design documentation

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system configuration settings and associated documentation

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with information security and privacy responsibilities

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system developers

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Mechanisms maintaining association and integrity of security and privacy attributes to information

+ + + + + Association of Attributes by Authorized Individuals + + + + + + + + + + + + + + + + + + +

security attributes to be associated with subjects by authorized individuals (or processes acting on behalf of individuals) are defined;

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security attributes to be associated with objects by authorized individuals (or processes acting on behalf of individuals) are defined;

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privacy attributes to be associated with subjects by authorized individuals (or processes acting on behalf of individuals) are defined;

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privacy attributes to be associated with objects by authorized individuals (or processes acting on behalf of individuals) are defined;

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subjects requiring the association of security attributes by authorized individuals (or processes acting on behalf of individuals) are defined;

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objects requiring the association of security attributes by authorized individuals (or processes acting on behalf of individuals) are defined;

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subjects requiring the association of privacy attributes by authorized individuals (or processes acting on behalf of individuals) are defined;

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objects requiring the association of privacy attributes by authorized individuals (or processes acting on behalf of individuals) are defined;

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Provide the capability to associate with by authorized individuals (or processes acting on behalf of individuals).

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Systems, in general, provide the capability for privileged users to assign security and privacy attributes to system-defined subjects (e.g., users) and objects (e.g., directories, files, and ports). Some systems provide additional capability for general users to assign security and privacy attributes to additional objects (e.g., files, emails). The association of attributes by authorized individuals is described in the design documentation. The support provided by systems can include prompting users to select security and privacy attributes to be associated with information objects, employing automated mechanisms to categorize information with attributes based on defined policies, or ensuring that the combination of the security or privacy attributes selected is valid. Organizations consider the creation, deletion, or modification of attributes when defining auditable events.

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authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate with ;

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authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate with ;

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authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate with ;

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authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate with .

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Access control policy

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procedures addressing the association of security and privacy attributes to information

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system design documentation

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system configuration settings and associated documentation

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list of users authorized to associate security and privacy attributes to information

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system prompts for privileged users to select security and privacy attributes to be associated with information objects

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system audit records

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with responsibilities for associating security and privacy attributes to information

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organizational personnel with information security and privacy responsibilities

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system developers

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Mechanisms supporting user associations of security and privacy attributes to information

+ + + + + Attribute Displays on Objects to Be Output + + + + + + +

special dissemination, handling, or distribution instructions to be used for each object that the system transmits to output devices are defined;

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human-readable, standard naming conventions for the security and privacy attributes to be displayed in human-readable form on each object that the system transmits to output devices are defined;

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Display security and privacy attributes in human-readable form on each object that the system transmits to output devices to identify using .

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System outputs include printed pages, screens, or equivalent items. System output devices include printers, notebook computers, video displays, smart phones, and tablets. To mitigate the risk of unauthorized exposure of information (e.g., shoulder surfing), the outputs display full attribute values when unmasked by the subscriber.

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security attributes are displayed in human-readable form on each object that the system transmits to output devices to identify using ;

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privacy attributes are displayed in human-readable form on each object that the system transmits to output devices to identify using .

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Access control policy

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procedures addressing display of security and privacy attributes in human-readable form

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special dissemination, handling, or distribution instructions

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types of human-readable, standard naming conventions

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system design documentation

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system configuration settings and associated documentation

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system audit records

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with information security and privacy responsibilities

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system developers

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System output devices displaying security and privacy attributes in human-readable form on each object

+ + + + + Maintenance of Attribute Association + + + + + + + + + + + + + + + + + + + + + + + +

security attributes to be associated with subjects are defined;

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security attributes to be associated with objects are defined;

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privacy attributes to be associated with subjects are defined;

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privacy attributes to be associated with objects are defined;

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subjects to be associated with information security attributes are defined;

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objects to be associated with information security attributes are defined;

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subjects to be associated with privacy attributes are defined;

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objects to be associated with privacy attributes are defined;

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security policies that require personnel to associate and maintain the association of security and privacy attributes with subjects and objects;

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privacy policies that require personnel to associate and maintain the association of security and privacy attributes with subjects and objects;

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Require personnel to associate and maintain the association of with in accordance with .

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Maintaining attribute association requires individual users (as opposed to the system) to maintain associations of defined security and privacy attributes with subjects and objects.

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personnel are required to associate and maintain the association of with in accordance with ;

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personnel are required to associate and maintain the association of with in accordance with ;

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personnel are required to associate and maintain the association of with in accordance with ;

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personnel are required to associate and maintain the association of with in accordance with .

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Access control policy

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procedures addressing association of security and privacy attributes with subjects and objects

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with responsibilities for associating and maintaining association of security and privacy attributes with subjects and objects

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organizational personnel with information security and privacy responsibilities

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system developers

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Mechanisms supporting associations of security and privacy attributes to subjects and objects

+ + + + + Consistent Attribute Interpretation + + + + + + + +

Provide a consistent interpretation of security and privacy attributes transmitted between distributed system components.

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To enforce security and privacy policies across multiple system components in distributed systems, organizations provide a consistent interpretation of security and privacy attributes employed in access enforcement and flow enforcement decisions. Organizations can establish agreements and processes to help ensure that distributed system components implement attributes with consistent interpretations in automated access enforcement and flow enforcement actions.

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a consistent interpretation of security attributes transmitted between distributed system components is provided;

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a consistent interpretation of privacy attributes transmitted between distributed system components is provided.

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Access control policies and procedures

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procedures addressing consistent interpretation of security and privacy attributes transmitted between distributed system components

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procedures addressing access enforcement

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procedures addressing information flow enforcement

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system design documentation

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system configuration settings and associated documentation

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system audit records

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system security plan

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privacy access control policy

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other relevant documents or records

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Organizational personnel with responsibilities for providing consistent interpretation of security and privacy attributes used in access enforcement and information flow enforcement actions

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organizational personnel with information security and privacy responsibilities

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system developers

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Mechanisms implementing access enforcement and information flow enforcement functions

+ + + + + Association Techniques and Technologies + + + + + + + + + +

techniques and technologies to be implemented in associating security attributes to information are defined;

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techniques and technologies to be implemented in associating privacy attributes to information are defined;

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Implement in associating security and privacy attributes to information.

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The association of security and privacy attributes to information within systems is important for conducting automated access enforcement and flow enforcement actions. The association of such attributes to information (i.e., binding) can be accomplished with technologies and techniques that provide different levels of assurance. For example, systems can cryptographically bind attributes to information using digital signatures that support cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).

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are implemented in associating security attributes to information;

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are implemented in associating privacy attributes to information.

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Access control policy

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procedures addressing association of security and privacy attributes to information

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system design documentation

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system configuration settings and associated documentation

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system audit records

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with responsibilities for associating security and privacy attributes to information

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organizational personnel with information security and privacy responsibilities

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system developers

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Mechanisms implementing techniques or technologies associating security and privacy attributes to information

+ + + + + Attribute Reassignment — Regrading Mechanisms + + + + + + + + + +

techniques or procedures used to validate regrading mechanisms for security attributes are defined;

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techniques or procedures used to validate regrading mechanisms for privacy attributes are defined;

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Change security and privacy attributes associated with information only via regrading mechanisms validated using .

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A regrading mechanism is a trusted process authorized to re-classify and re-label data in accordance with a defined policy exception. Validated regrading mechanisms are used by organizations to provide the requisite levels of assurance for attribute reassignment activities. The validation is facilitated by ensuring that regrading mechanisms are single purpose and of limited function. Since security and privacy attribute changes can directly affect policy enforcement actions, implementing trustworthy regrading mechanisms is necessary to help ensure that such mechanisms perform in a consistent and correct mode of operation.

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security attributes associated with information are changed only via regrading mechanisms validated using ;

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privacy attributes associated with information are changed only via regrading mechanisms validated using .

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Access control policy

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procedures addressing reassignment of security attributes to information

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system design documentation

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system configuration settings and associated documentation

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system audit records

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with responsibilities for reassigning association of security and privacy attributes to information

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organizational personnel with information security and privacy responsibilities

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system developers

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Mechanisms implementing techniques or procedures for reassigning association of security and privacy attributes to information

+ + + + + Attribute Configuration by Authorized Individuals + + + + + + + +

Provide authorized individuals the capability to define or change the type and value of security and privacy attributes available for association with subjects and objects.

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The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Thus, it is important for systems to be able to limit the ability to create or modify the type and value of attributes available for association with subjects and objects to authorized individuals only.

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authorized individuals are provided with the capability to define or change the type and value of security attributes available for association with subjects and objects;

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authorized individuals are provided with the capability to define or change the type and value of privacy attributes available for association with subjects and objects.

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Access control policy

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procedures addressing configuration of security and privacy attributes by authorized individuals

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system design documentation

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system configuration settings and associated documentation

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system audit records

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with responsibilities for defining or changing security and privacy attributes associated with information

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organizational personnel with information security and privacy responsibilities

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system developers

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Mechanisms implementing capability for defining or changing security and privacy attributes

+ + + + + + Remote Access + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and

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Authorize each type of remote access to the system prior to allowing such connections.

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Remote access is access to organizational systems (or processes acting on behalf of users) that communicate through external networks such as the Internet. Types of remote access include dial-up, broadband, and wireless. Organizations use encrypted virtual private networks (VPNs) to enhance confidentiality and integrity for remote connections. The use of encrypted VPNs provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the ability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. Authorization of each remote access type addresses authorization prior to allowing remote access without specifying the specific formats for such authorization. While organizations may use information exchange and system connection security agreements to manage remote access connections to other systems, such agreements are addressed as part of CA-3 . Enforcing access restrictions for remote access is addressed via AC-3.

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usage restrictions are established and documented for each type of remote access allowed;

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configuration/connection requirements are established and documented for each type of remote access allowed;

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implementation guidance is established and documented for each type of remote access allowed;

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each type of remote access to the system is authorized prior to allowing such connections.

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Access control policy

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procedures addressing remote access implementation and usage (including restrictions)

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configuration management plan

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system configuration settings and associated documentation

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remote access authorizations

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system audit records

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system security plan

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other relevant documents or records

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Organizational personnel with responsibilities for managing remote access connections

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system/network administrators

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organizational personnel with information security responsibilities

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Remote access management capability for the system

+ + + + Monitoring and Control + + + + + + + + + + + + +

Employ automated mechanisms to monitor and control remote access methods.

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Monitoring and control of remote access methods allows organizations to detect attacks and help ensure compliance with remote access policies by auditing the connection activities of remote users on a variety of system components, including servers, notebook computers, workstations, smart phones, and tablets. Audit logging for remote access is enforced by AU-2 . Audit events are defined in AU-2a.

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automated mechanisms are employed to monitor remote access methods;

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automated mechanisms are employed to control remote access methods.

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Access control policy

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procedures addressing remote access to the system

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system design documentation

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system configuration settings and associated documentation

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system audit records

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system monitoring records

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system security plan

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other relevant documents or records

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System/network administrators

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organizational personnel with information security responsibilities

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system developers

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Automated mechanisms monitoring and controlling remote access methods

+ + + + + Protection of Confidentiality and Integrity Using Encryption + + + + + + + + + + +

Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

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Virtual private networks can be used to protect the confidentiality and integrity of remote access sessions. Transport Layer Security (TLS) is an example of a cryptographic protocol that provides end-to-end communications security over networks and is used for Internet communications and online transactions.

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cryptographic mechanisms are implemented to protect the confidentiality and integrity of remote access sessions.

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Access control policy

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procedures addressing remote access to the system

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system design documentation

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system configuration settings and associated documentation

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cryptographic mechanisms and associated configuration documentation

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system audit records

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system security plan

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other relevant documents or records

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System/network administrators

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organizational personnel with information security responsibilities

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system developers

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Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions

+ + + + + Managed Access Control Points + + + + + + + + +

Route remote accesses through authorized and managed network access control points.

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Organizations consider the Trusted Internet Connections (TIC) initiative DHS TIC requirements for external network connections since limiting the number of access control points for remote access reduces attack surfaces.

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remote accesses are routed through authorized and managed network access control points.

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Access control policy

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procedures addressing remote access to the system

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system design documentation

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list of all managed network access control points

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system configuration settings and associated documentation

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system audit records

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system security plan

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other relevant documents or records

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System/network administrators

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organizational personnel with information security responsibilities

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Mechanisms routing all remote accesses through managed network access control points

+ + + + + Privileged Commands and Access + + + + + + + + + +

needs requiring execution of privileged commands via remote access are defined;

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needs requiring access to security-relevant information via remote access are defined;

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Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: ; and

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Document the rationale for remote access in the security plan for the system.

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Remote access to systems represents a significant potential vulnerability that can be exploited by adversaries. As such, restricting the execution of privileged commands and access to security-relevant information via remote access reduces the exposure of the organization and the susceptibility to threats by adversaries to the remote access capability.

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the execution of privileged commands via remote access is authorized only in a format that provides assessable evidence;

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access to security-relevant information via remote access is authorized only in a format that provides assessable evidence;

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the execution of privileged commands via remote access is authorized only for the following needs: ;

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access to security-relevant information via remote access is authorized only for the following needs: ;

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the rationale for remote access is documented in the security plan for the system.

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Access control policy

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procedures addressing remote access to the system

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system configuration settings and associated documentation

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security plan

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system audit records

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system security plan

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other relevant documents or records

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System/network administrators

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organizational personnel with information security responsibilities

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Mechanisms implementing remote access management

+ + + + + Monitoring for Unauthorized Connections + + + + + + + + + Protection of Mechanism Information + + + + + + + + + + +

Protect information about remote access mechanisms from unauthorized use and disclosure.

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Remote access to organizational information by non-organizational entities can increase the risk of unauthorized use and disclosure about remote access mechanisms. The organization considers including remote access requirements in the information exchange agreements with other organizations, as applicable. Remote access requirements can also be included in rules of behavior (see PL-4 ) and access agreements (see PS-6).

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information about remote access mechanisms is protected from unauthorized use and disclosure.

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Access control policy

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procedures addressing remote access to the system

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system security plan

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other relevant documents or records

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Organizational personnel with responsibilities for implementing or monitoring remote access to the system

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system users with knowledge of information about remote access mechanisms

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organizational personnel with information security responsibilities

+ + + + + Additional Protection for Security Function Access + + + + + + + + + Disable Nonsecure Network Protocols + + + + + + + + + Disconnect or Disable Access + + + + + +

the time period within which to disconnect or disable remote access to the system is defined;

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Provide the capability to disconnect or disable remote access to the system within .

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The speed of system disconnect or disablement varies based on the criticality of missions or business functions and the need to eliminate immediate or future remote access to systems.

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the capability to disconnect or disable remote access to the system within is provided.

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Access control policy

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procedures addressing disconnecting or disabling remote access to the system

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system design documentation

+

system configuration settings and associated documentation

+

security plan, system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing capability to disconnect or disable remote access to system

+ + + + + Authenticate Remote Commands + + + + + +

mechanisms implemented to authenticate remote commands are defined;

+ + + + + + + +

remote commands to be authenticated by mechanisms are defined;

+ + + + + + + + + + + + +

Implement to authenticate .

+ + +

Authenticating remote commands protects against unauthorized commands and the replay of authorized commands. The ability to authenticate remote commands is important for remote systems for which loss, malfunction, misdirection, or exploitation would have immediate or serious consequences, such as injury, death, property damage, loss of high value assets, failure of mission or business functions, or compromise of classified or controlled unclassified information. Authentication mechanisms for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be used, for example, to authenticate remote commands.

+ + + +

are implemented to authenticate .

+ + + + + + +

Access control policy

+

procedures addressing authentication of remote commands

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing authentication of remote commands

+ + + + + + Wireless Access + + + + + + + + + + + + + + + + + + + + + + + +

Establish configuration requirements, connection requirements, and implementation guidance for each type of wireless access; and

+ + + +

Authorize each type of wireless access to the system prior to allowing such connections.

+ + + +

Wireless technologies include microwave, packet radio (ultra-high frequency or very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols that provide authenticator protection and mutual authentication.

+ + + + + + + +

configuration requirements are established for each type of wireless access;

+ + + + +

connection requirements are established for each type of wireless access;

+ + + + +

implementation guidance is established for each type of wireless access;

+ + + + + + +

each type of wireless access to the system is authorized prior to allowing such connections.

+ + + + + + + + +

Access control policy

+

procedures addressing wireless access implementation and usage (including restrictions)

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

wireless access authorizations

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for managing wireless access connections

+

organizational personnel with information security responsibilities

+ + + + + + +

Wireless access management capability for the system

+ + + + Authentication and Encryption + + + + + + + + + + + + + + + +

Protect wireless access to the system using authentication of and encryption.

+ + +

Wireless networking capabilities represent a significant potential vulnerability that can be exploited by adversaries. To protect systems with wireless access points, strong authentication of users and devices along with strong encryption can reduce susceptibility to threats by adversaries involving wireless technologies.

+ + + + + +

wireless access to the system is protected using authentication of ;

+ + + + +

wireless access to the system is protected using encryption.

+ + + + + + + + +

Access control policy

+

procedures addressing wireless implementation and usage (including restrictions)

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing wireless access protections to the system

+ + + + + Monitoring Unauthorized Connections + + + + + + + + + Disable Wireless Networking + + + + + + + + +

Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment.

+ + +

Wireless networking capabilities that are embedded within system components represent a significant potential vulnerability that can be exploited by adversaries. Disabling wireless capabilities when not needed for essential organizational missions or functions can reduce susceptibility to threats by adversaries involving wireless technologies.

+ + + +

when not intended for use, wireless networking capabilities embedded within system components are disabled prior to issuance and deployment.

+ + + + + + +

Access control policy

+

procedures addressing wireless implementation and usage (including restrictions)

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms managing the disabling of wireless networking capabilities internally embedded within system components

+ + + + + Restrict Configurations by Users + + + + + + + + + +

Identify and explicitly authorize users allowed to independently configure wireless networking capabilities.

+ + +

Organizational authorizations to allow selected users to configure wireless networking capabilities are enforced, in part, by the access enforcement mechanisms employed within organizational systems.

+ + + + + +

users allowed to independently configure wireless networking capabilities are identified;

+ + + + +

users allowed to independently configure wireless networking capabilities are explicitly authorized.

+ + + + + + + + +

Access control policy

+

procedures addressing wireless implementation and usage (including restrictions)

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms authorizing independent user configuration of wireless networking capabilities

+ + + + + Antennas and Transmission Power Levels + + + + + + + + +

Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries.

+ + +

Actions that may be taken to limit unauthorized use of wireless communications outside of organization-controlled boundaries include reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization, employing measures such as emissions security to control wireless emanations, and using directional or beamforming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area.

+ + + + + +

radio antennas are selected to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries;

+ + + + +

transmission power levels are calibrated to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries.

+ + + + + + + + +

Access control policy

+

procedures addressing wireless implementation and usage (including restrictions)

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Calibration of transmission power levels for wireless access

+

radio antenna signals for wireless access

+

wireless access reception outside of organization-controlled boundaries

+ + + + + + Access Control for Mobile Devices + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Establish configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices, to include when such devices are outside of controlled areas; and

+ + + +

Authorize the connection of mobile devices to organizational systems.

+ + + +

A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones and tablets. Mobile devices are typically associated with a single individual. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of notebook/desktop systems, depending on the nature and intended purpose of the device. Protection and control of mobile devices is behavior or policy-based and requires users to take physical action to protect and control such devices when outside of controlled areas. Controlled areas are spaces for which organizations provide physical or procedural controls to meet the requirements established for protecting information and systems.

+

Due to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes or types of such devices. Usage restrictions and specific implementation guidance for mobile devices include configuration management, device identification and authentication, implementation of mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware.

+

Usage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to its network and impose a set of usage restrictions, while a system owner may withhold authorization for mobile device connection to specific applications or impose additional usage restrictions before allowing mobile device connections to a system. Adequate security for mobile devices goes beyond the requirements specified in AC-19 . Many safeguards for mobile devices are reflected in other controls. AC-20 addresses mobile devices that are not organization-controlled.

+ + + + + + + +

configuration requirements are established for organization-controlled mobile devices, including when such devices are outside of the controlled area;

+ + + + +

connection requirements are established for organization-controlled mobile devices, including when such devices are outside of the controlled area;

+ + + + +

implementation guidance is established for organization-controlled mobile devices, including when such devices are outside of the controlled area;

+ + + + + + +

the connection of mobile devices to organizational systems is authorized.

+ + + + + + + + +

Access control policy

+

procedures addressing access control for mobile device usage (including restrictions)

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

authorizations for mobile device connections to organizational systems

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel using mobile devices to access organizational systems

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Access control capability for mobile device connections to organizational systems

+

configurations of mobile devices

+ + + + Use of Writable and Portable Storage Devices + + + + + + + + + Use of Personally Owned Portable Storage Devices + + + + + + + + + Use of Portable Storage Devices with No Identifiable Owner + + + + + + + + + Restrictions for Classified Information + + + + + +

security officials responsible for the review and inspection of unclassified mobile devices and the information stored on those devices are defined;

+ + + + + + + +

security policies restricting the connection of classified mobile devices to classified systems are defined;

+ + + + + + + + + + + + + +

Prohibit the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and

+ + + +

Enforce the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information:

+ + +

Connection of unclassified mobile devices to classified systems is prohibited;

+ + + +

Connection of unclassified mobile devices to unclassified systems requires approval from the authorizing official;

+ + + +

Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and

+ + + +

Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by , and if classified information is found, the incident handling policy is followed.

+ + + + +

Restrict the connection of classified mobile devices to classified systems in accordance with .

+ + + +

None.

+ + + + + +

the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information is prohibited unless specifically permitted by the authorizing official;

+ + + + + + +

prohibition of the connection of unclassified mobile devices to classified systems is enforced on individuals permitted by an authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information;

+ + + + +

approval by the authorizing official for the connection of unclassified mobile devices to unclassified systems is enforced on individuals permitted to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information;

+ + + + +

prohibition of the use of internal or external modems or wireless interfaces within unclassified mobile devices is enforced on individuals permitted by an authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information;

+ + + + + + +

random review and inspection of unclassified mobile devices and the information stored on those devices by are enforced;

+ + + + +

following of the incident handling policy is enforced if classified information is found during a random review and inspection of unclassified mobile devices;

+ + + + + + + + +

the connection of classified mobile devices to classified systems is restricted in accordance with .

+ + + + + + + + +

Access control policy

+

incident handling policy

+

procedures addressing access control for mobile devices

+

system design documentation

+

system configuration settings and associated documentation

+

evidentiary documentation for random inspections and reviews of mobile devices

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for random reviews/inspections of mobile devices

+

organizational personnel using mobile devices in facilities containing systems processing, storing, or transmitting classified information

+

organizational personnel with incident response responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices

+ + + + + Full Device or Container-based Encryption + + + + + + + + + + +

mobile devices on which to employ encryption are defined;

+ + + + + + + + + + + + +

Employ to protect the confidentiality and integrity of information on .

+ + +

Container-based encryption provides a more fine-grained approach to data and information encryption on mobile devices, including encrypting selected data structures such as files, records, or fields.

+ + + +

is employed to protect the confidentiality and integrity of information on .

+ + + + + + +

Access control policy

+

procedures addressing access control for mobile devices

+

system design documentation

+

system configuration settings and associated documentation

+

encryption mechanisms and associated configuration documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access control responsibilities for mobile devices

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Encryption mechanisms protecting confidentiality and integrity of information on mobile devices

+ + + + + + Use of External Systems + + + + + + + + + + +

terms and conditions consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems are defined (if selected);

+ + + + + + + + +

controls asserted to be implemented on external systems consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems are defined (if selected);

+ + + + + + + + +

types of external systems prohibited from use are defined;

+ + + + + + + + + + + + + + + + + + + + + + +

, consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:

+ + +

Access the system from external systems; and

+ + + +

Process, store, or transmit organization-controlled information using external systems; or

+ + + + +

Prohibit the use of .

+ + + +

External systems are systems that are used by but not part of organizational systems, and for which the organization has no direct control over the implementation of required controls or the assessment of control effectiveness. External systems include personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; systems managed by contractors; and federal information systems that are not owned by, operated by, or under the direct supervision or authority of the organization. External systems also include systems owned or operated by other components within the same organization and systems within the organization with different authorization boundaries. Organizations have the option to prohibit the use of any type of external system or prohibit the use of specified types of external systems, (e.g., prohibit the use of any external system that is not organizationally owned or prohibit the use of personally-owned systems).

+

For some external systems (i.e., systems operated by other organizations), the trust relationships that have been established between those organizations and the originating organization may be such that no explicit terms and conditions are required. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing information exchange agreements (either implicit or explicit) established between organizations or components or when such agreements are specified by applicable laws, executive orders, directives, regulations, policies, or standards. Authorized individuals include organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific rules of behavior regarding system access. Restrictions that organizations impose on authorized individuals need not be uniform, as the restrictions may vary depending on trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments.

+

External systems used to access public interfaces to organizational systems are outside the scope of AC-20 . Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. At a minimum, terms and conditions address the specific types of applications that can be accessed on organizational systems from external systems and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of the external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.

+ + + + + + + +

is/are consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to access the system from external systems (if applicable);

+ + + + +

is/are consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to process, store, or transmit organization-controlled information using external systems (if applicable);

+ + + + + + +

the use of is prohibited (if applicable).

+ + + + + + + + +

Access control policy

+

procedures addressing the use of external systems

+

external systems terms and conditions

+

list of types of applications accessible from external systems

+

maximum security categorization for information processed, stored, or transmitted on external systems

+

system configuration settings and associated documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for defining terms and conditions for use of external systems to access organizational systems

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing terms and conditions on the use of external systems

+ + + + Limits on Authorized Use + + + + + + + + +

Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:

+ + +

Verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or

+ + + +

Retention of approved system connection or processing agreements with the organizational entity hosting the external system.

+ + + +

Limiting authorized use recognizes circumstances where individuals using external systems may need to access organizational systems. Organizations need assurance that the external systems contain the necessary controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required controls have been implemented can be achieved by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations.

+ + + + + +

authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans (if applicable);

+ + + + +

authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after retention of approved system connection or processing agreements with the organizational entity hosting the external system (if applicable).

+ + + + + + + + +

Access control policy

+

procedures addressing the use of external systems

+

system connection or processing agreements

+

account management documents

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing limits on use of external systems

+ + + + + Portable Storage Devices — Restricted Use + + + + + +

restrictions on the use of organization-controlled portable storage devices by authorized individuals on external systems are defined;

+ + + + + + + + + + + +

Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using .

+ + +

Limits on the use of organization-controlled portable storage devices in external systems include restrictions on how the devices may be used and under what conditions the devices may be used.

+ + + +

the use of organization-controlled portable storage devices by authorized individuals is restricted on external systems using .

+ + + + + + +

Access control policy

+

procedures addressing the use of external systems

+

system configuration settings and associated documentation

+

system connection or processing agreements

+

account management documents

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for restricting or prohibiting the use of organization-controlled storage devices on external systems

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing restrictions on the use of portable storage devices

+ + + + + Non-organizationally Owned Systems — Restricted Use + + + + + +

restrictions on the use of non-organizationally owned systems or system components to process, store, or transmit organizational information are defined;

+ + + + + + + + + +

Restrict the use of non-organizationally owned systems or system components to process, store, or transmit organizational information using .

+ + +

Non-organizationally owned systems or system components include systems or system components owned by other organizations as well as personally owned devices. There are potential risks to using non-organizationally owned systems or components. In some cases, the risk is sufficiently high as to prohibit such use (see AC-20 b. ). In other cases, the use of such systems or system components may be allowed but restricted in some way. Restrictions include requiring the implementation of approved controls prior to authorizing the connection of non-organizationally owned systems and components; limiting access to types of information, services, or applications; using virtualization techniques to limit processing and storage activities to servers or system components provisioned by the organization; and agreeing to the terms and conditions for usage. Organizations consult with the Office of the General Counsel regarding legal issues associated with using personally owned devices, including requirements for conducting forensic analyses during investigations after an incident.

+ + + +

the use of non-organizationally owned systems or system components to process, store, or transmit organizational information is restricted using .

+ + + + + + +

Access control policy

+

procedures addressing the use of external systems

+

system design documentation

+

system configuration settings and associated documentation

+

system connection or processing agreements

+

account management documents

+

system audit records, other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for restricting or prohibiting the use of non-organizationally owned systems, system components, or devices

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing restrictions on the use of non-organizationally owned systems, components, or devices

+ + + + + Network Accessible Storage Devices — Prohibited Use + + + + + + +

network-accessible storage devices prohibited from use in external systems are defined;

+ + + + + + + + + +

Prohibit the use of in external systems.

+ + +

Network-accessible storage devices in external systems include online storage devices in public, hybrid, or community cloud-based systems.

+ + + +

the use of is prohibited in external systems.

+ + + + + + +

Access control policy

+

procedures addressing use of network-accessible storage devices in external systems

+

system design documentation

+

system configuration settings and associated documentation

+

system connection or processing agreements

+

list of network-accessible storage devices prohibited from use in external systems

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for prohibiting the use of network-accessible storage devices in external systems

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms prohibiting the use of network-accessible storage devices in external systems

+ + + + + Portable Storage Devices — Prohibited Use + + + + + + + + + + + +

Prohibit the use of organization-controlled portable storage devices by authorized individuals on external systems.

+ + +

Limits on the use of organization-controlled portable storage devices in external systems include a complete prohibition of the use of such devices. Prohibiting such use is enforced using technical methods and/or nontechnical (i.e., process-based) methods.

+ + + +

the use of organization-controlled portable storage devices by authorized individuals is prohibited on external systems.

+ + + + + + +

Access control policy

+

procedures addressing use of portable storage devices in external systems

+

system design documentation

+

system configuration settings and associated documentation

+

system connection or processing agreements

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for prohibiting the use of portable storage devices in external systems

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + Information Sharing + + + + + + +

information-sharing circumstances where user discretion is required to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions are defined;

+ + + + + + + + +

automated mechanisms or manual processes that assist users in making information-sharing and collaboration decisions are defined;

+ + + + + + + + + + + + + + + + + + + + +

Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for ; and

+ + + +

Employ to assist users in making information sharing and collaboration decisions.

+ + + +

Information sharing applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, classified information related to special access programs or compartments, privileged information, proprietary information, and personally identifiable information. Security and privacy risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to these determinations. Depending on the circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program or compartment. Access restrictions may include non-disclosure agreements (NDA). Information flow techniques and security attributes may be used to provide automated assistance to users making sharing and collaboration decisions.

+ + + + + +

authorized users are enabled to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for ;

+ + + + +

are employed to assist users in making information-sharing and collaboration decisions.

+ + + + + + + + +

Access control policy

+

procedures addressing user-based collaboration and information sharing (including restrictions)

+

system design documentation

+

system configuration settings and associated documentation

+

list of users authorized to make information-sharing/collaboration decisions

+

list of information-sharing circumstances requiring user discretion

+

non-disclosure agreements

+

acquisitions/contractual agreements

+

system security plan

+

privacy plan

+

privacy impact assessment

+

security and privacy risk assessments

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for information-sharing/collaboration decisions

+

organizational personnel with responsibility for acquisitions/contractual agreements

+

system/network administrators

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms or manual process implementing access authorizations supporting information-sharing/user collaboration decisions

+ + + + Automated Decision Support + + + + + +

automated mechanisms employed to enforce information-sharing decisions by authorized users are defined;

+ + + + + + + + + +

Employ to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.

+ + +

Automated mechanisms are used to enforce information sharing decisions.

+ + + +

are employed to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.

+ + + + + + +

Access control policy

+

procedures addressing user-based collaboration and information sharing (including restrictions)

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of users authorized to make information-sharing/collaboration decisions

+

system-generated list of sharing partners and access authorizations

+

system-generated list of access restrictions regarding information to be shared

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Automated mechanisms implementing access authorizations supporting information-sharing/user collaboration decisions

+ + + + + Information Search and Retrieval + + + + + + +

information-sharing restrictions to be enforced by information search and retrieval services are defined;

+ + + + + + + + + +

Implement information search and retrieval services that enforce .

+ + +

Information search and retrieval services identify information system resources relevant to an information need.

+ + + +

information search and retrieval services that enforce are implemented.

+ + + + + + +

Access control policy

+

procedures addressing user-based collaboration and information sharing (including restrictions)

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of access restrictions regarding information to be shared

+

information search and retrieval records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities for system search and retrieval services

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

System search and retrieval services enforcing information-sharing restrictions

+ + + + + + Publicly Accessible Content + + + + + +

the frequency at which to review the content on the publicly accessible system for non-public information is defined;

+ + + + + + + + + + + + + + + +

Designate individuals authorized to make information publicly accessible;

+ + + +

Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;

+ + + +

Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and

+ + + +

Review the content on the publicly accessible system for nonpublic information and remove such information, if discovered.

+ + + +

In accordance with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines, the public is not authorized to have access to nonpublic information, including information protected under the PRIVACT and proprietary information. Publicly accessible content addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. Posting information on non-organizational systems (e.g., non-organizational public websites, forums, and social media) is covered by organizational policy. While organizations may have individuals who are responsible for developing and implementing policies about the information that can be made publicly accessible, publicly accessible content addresses the management of the individuals who make such information publicly accessible.

+ + + + + +

designated individuals are authorized to make information publicly accessible;

+ + + + +

authorized individuals are trained to ensure that publicly accessible information does not contain non-public information;

+ + + + +

the proposed content of information is reviewed prior to posting onto the publicly accessible system to ensure that non-public information is not included;

+ + + + + + +

the content on the publicly accessible system is reviewed for non-public information ;

+ + + + +

non-public information is removed from the publicly accessible system, if discovered.

+ + + + + + + + + + +

Access control policy

+

procedures addressing publicly accessible content

+

list of users authorized to post publicly accessible content on organizational systems

+

training materials and/or records

+

records of publicly accessible information reviews

+

records of response to non-public information on public websites

+

system audit logs

+

security awareness training records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for managing publicly accessible information posted on organizational systems

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing management of publicly accessible content

+ + + + + Data Mining Protection + + + + + + +

data mining prevention and detection techniques are defined;

+ + + + + + + +

data storage objects to be protected against unauthorized data mining are defined;

+ + + + + + + + + + + +

Employ for to detect and protect against unauthorized data mining.

+ + +

Data mining is an analytical process that attempts to find correlations or patterns in large data sets for the purpose of data or knowledge discovery. Data storage objects include database records and database fields. Sensitive information can be extracted from data mining operations. When information is personally identifiable information, it may lead to unanticipated revelations about individuals and give rise to privacy risks. Prior to performing data mining activities, organizations determine whether such activities are authorized. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that address data mining requirements. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.

+

Data mining prevention and detection techniques include limiting the number and frequency of database queries to increase the work factor needed to determine the contents of databases, limiting types of responses provided to database queries, applying differential privacy techniques or homomorphic encryption, and notifying personnel when atypical database queries or accesses occur. Data mining protection focuses on protecting information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is available as open-source information residing on external sites, such as social networking or social media websites.

+

EO 13587 requires the establishment of an insider threat program for deterring, detecting, and mitigating insider threats, including the safeguarding of sensitive information from exploitation, compromise, or other unauthorized disclosure. Data mining protection requires organizations to identify appropriate techniques to prevent and detect unnecessary or unauthorized data mining. Data mining can be used by an insider to collect organizational information for the purpose of exfiltration.

+ + + +

are employed for to detect and protect against unauthorized data mining.

+ + + + + + +

Access control policy

+

procedures for preventing and detecting data mining

+

policies and procedures addressing authorized data mining techniques

+

procedures addressing protection of data storage objects against data mining

+

system design documentation

+

system configuration settings and associated documentation

+

system audit logs

+

system audit records

+

procedures addressing differential privacy techniques

+

notifications of atypical database queries or accesses

+

documentation or reports of insider threat program

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects

+

legal counsel

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing data mining prevention and detection

+ + + + + Access Control Decisions + + + + + + + + + + +

access control decisions applied to each access request prior to access enforcement are defined;

+ + + + + + + + + + + + +

to ensure are applied to each access request prior to access enforcement.

+ + +

Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when systems enforce access control decisions. While it is common to have access control decisions and access enforcement implemented by the same entity, it is not required, and it is not always an optimal implementation choice. For some architectures and distributed systems, different entities may make access control decisions and enforce access.

+ + + +

are taken to ensure that are applied to each access request prior to access enforcement.

+ + + + + + +

Access control policy

+

procedures addressing access control decisions

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for establishing procedures regarding access control decisions to the system

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms applying established access control decisions and procedures

+ + + + Transmit Access Authorization Information + + + + + +

access authorization information transmitted to systems that enforce access control decisions is defined;

+ + + + + + + +

controls to be used when authorization information is transmitted to systems that enforce access control decisions are defined;

+ + + + + + + +

systems that enforce access control decisions are defined;

+ + + + + + + + + + +

Transmit using to that enforce access control decisions.

+ + +

Authorization processes and access control decisions may occur in separate parts of systems or in separate systems. In such instances, authorization information is transmitted securely (e.g., using cryptographic mechanisms) so that timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information supporting security and privacy attributes. This is because in distributed systems, there are various access control decisions that need to be made, and different entities make these decisions in a serial fashion, each requiring those attributes to make the decisions. Protecting access authorization information ensures that such information cannot be altered, spoofed, or compromised during transmission.

+ + + +

is transmitted using to that enforce access control decisions.

+ + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access enforcement functions

+ + + + + No User or Process Identity + + + + + + + + + +

security attributes that do not include the identity of the user or process acting on behalf of the user are defined (if selected);

+ + + + + + +

privacy attributes that do not include the identity of the user or process acting on behalf of the user are defined (if selected);

+ + + + + + + + + +

Enforce access control decisions based on that do not include the identity of the user or process acting on behalf of the user.

+ + +

In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions, and especially in the case of distributed systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish. MAC, RBAC, ABAC, and label-based control policies, for example, might not include user identity as an attribute.

+ + + + + +

access control decisions are enforced based on that do not include the identity of the user or process acting on behalf of the user (if selected);

+ + + + +

access control decisions are enforced based on that do not include the identity of the user or process acting on behalf of the user (if selected).

+ + + + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access enforcement functions

+ + + + + + Reference Monitor + + + + + +

access control policies for which a reference monitor is implemented are defined;

+ + + + + + + + + + + + + + + + + +

Implement a reference monitor for that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.

+ + +

A reference monitor is a set of design requirements on a reference validation mechanism that, as a key component of an operating system, enforces an access control policy over all subjects and objects. A reference validation mechanism is always invoked, tamper-proof, and small enough to be subject to analysis and tests, the completeness of which can be assured (i.e., verifiable). Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are associated with data structures, such as records, buffers, communications ports, tables, files, and inter-process pipes. Reference monitors enforce access control policies that restrict access to objects based on the identity of subjects or groups to which the subjects belong. The system enforces the access control policy based on the rule set established by the policy. The tamper-proof property of the reference monitor prevents determined adversaries from compromising the functioning of the reference validation mechanism. The always invoked property prevents adversaries from bypassing the mechanism and violating the security policy. The smallness property helps to ensure completeness in the analysis and testing of the mechanism to detect any weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.

+ + + +

a reference monitor is implemented for that is tamper-proof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.

+ + + + + + +

Access control policy

+

procedures addressing access enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with access enforcement responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms implementing access enforcement functions

+ + + + + + Awareness and Training + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the awareness and training policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the awareness and training procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the awareness and training policy and procedures is defined;

+ + + + + + + +

the frequency at which the current awareness and training policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current awareness and training policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current awareness and training procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

awareness and training policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and

+ + + +

Review and update the current awareness and training:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Awareness and training policy and procedures address the controls in the AT family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of awareness and training policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to awareness and training policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

an awareness and training policy is developed and documented;

+ + + + +

the awareness and training policy is disseminated to ;

+ + + + +

awareness and training procedures to facilitate the implementation of the awareness and training policy and associated access controls are developed and documented;

+ + + + +

the awareness and training procedures are disseminated to .

+ + + + + + + + +

the awareness and training policy addresses purpose;

+ + + + +

the awareness and training policy addresses scope;

+ + + + +

the awareness and training policy addresses roles;

+ + + + +

the awareness and training policy addresses responsibilities;

+ + + + +

the awareness and training policy addresses management commitment;

+ + + + +

the awareness and training policy addresses coordination among organizational entities;

+ + + + +

the awareness and training policy addresses compliance; and

+ + + + + + +

the awareness and training policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the awareness and training policy and procedures;

+ + + + + + + + +

the current awareness and training policy is reviewed and updated ;

+ + + + +

the current awareness and training policy is reviewed and updated following ;

+ + + + + + + + +

the current awareness and training procedures are reviewed and updated ;

+ + + + +

the current awareness and training procedures are reviewed and updated following .

+ + + + + + + + + + + + +

System security plan

+

privacy plan

+

awareness and training policy and procedures

+

other relevant documents or records

+ + + + + + +

Organizational personnel with awareness and training responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Literacy Training and Awareness + + + + + + + + + + + + + + +

the frequency at which to provide security literacy training to system users (including managers, senior executives, and contractors) after initial training is defined;

+ + + + + + +

the frequency at which to provide privacy literacy training to system users (including managers, senior executives, and contractors) after initial training is defined;

+ + + + + + +

events that require security literacy training for system users are defined;

+ + + + + + +

events that require privacy literacy training for system users are defined;

+ + + + + + + +

techniques to be employed to increase the security and privacy awareness of system users are defined;

+ + + + + + + +

the frequency at which to update literacy training and awareness content is defined;

+ + + + + + + +

events that would require literacy training and awareness content to be updated are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Provide security and privacy literacy training to system users (including managers, senior executives, and contractors):

+ + +

As part of initial training for new users and thereafter; and

+ + + +

When required by system changes or following ;

+ + + + +

Employ the following techniques to increase the security and privacy awareness of system users ;

+ + + +

Update literacy training and awareness content and following ; and

+ + + +

Incorporate lessons learned from internal or external security incidents or breaches into literacy training and awareness techniques.

+ + + +

Organizations provide basic and advanced levels of literacy training to system users, including measures to test the knowledge level of users. Organizations determine the content of literacy training and awareness based on specific organizational requirements, the systems to which personnel have authorized access, and work environments (e.g., telework). The content includes an understanding of the need for security and privacy as well as actions by users to maintain security and personal privacy and to respond to suspected incidents. The content addresses the need for operations security and the handling of personally identifiable information.

+

Awareness techniques include displaying posters, offering supplies inscribed with security and privacy reminders, displaying logon screen messages, generating email advisories or notices from organizational officials, and conducting awareness events. Literacy training after the initial training described in AT-2a.1 is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Subsequent literacy training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes, changes to organizational security and privacy policies, revised security and privacy expectations, or a subset of topics from the initial training. Updating literacy training and awareness content on a regular basis helps to ensure that the content remains relevant. Events that may precipitate an update to literacy training and awareness content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

+ + + + + + + + + +

security literacy training is provided to system users (including managers, senior executives, and contractors) as part of initial training for new users;

+ + + + +

privacy literacy training is provided to system users (including managers, senior executives, and contractors) as part of initial training for new users;

+ + + + +

security literacy training is provided to system users (including managers, senior executives, and contractors) thereafter;

+ + + + +

privacy literacy training is provided to system users (including managers, senior executives, and contractors) thereafter;

+ + + + + + + + +

security literacy training is provided to system users (including managers, senior executives, and contractors) when required by system changes or following ;

+ + + + +

privacy literacy training is provided to system users (including managers, senior executives, and contractors) when required by system changes or following ;

+ + + + + + + + +

are employed to increase the security and privacy awareness of system users;

+ + + + + + +

literacy training and awareness content is updated ;

+ + + + +

literacy training and awareness content is updated following ;

+ + + + + + +

lessons learned from internal or external security incidents or breaches are incorporated into literacy training and awareness techniques.

+ + + + + + + + +

System security plan

+

privacy plan

+

literacy training and awareness policy

+

procedures addressing literacy training and awareness implementation

+

appropriate codes of federal regulations

+

security and privacy literacy training curriculum

+

security and privacy literacy training materials

+

training records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for literacy training and awareness

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel comprising the general system user community

+ + + + + + +

Mechanisms managing information security and privacy literacy training

+ + + + Practical Exercises + + + + + + + + + + + + +

Provide practical exercises in literacy training that simulate events and incidents.

+ + +

Practical exercises include no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.

+ + + +

practical exercises in literacy training that simulate events and incidents are provided.

+ + + + + + +

System security plan

+

privacy plan

+

security awareness and training policy

+

procedures addressing security awareness training implementation

+

security awareness training curriculum

+

security awareness training materials

+

other relevant documents or records

+ + + + + + +

Organizational personnel who receive literacy training and awareness

+

organizational personnel with responsibilities for security awareness training

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms implementing cyber-attack simulations in practical exercises

+ + + + + Insider Threat + + + + + + + + + +

Provide literacy training on recognizing and reporting potential indicators of insider threat.

+ + +

Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction; attempts to gain access to information not required for job performance; unexplained access to financial resources; bullying or harassment of fellow employees; workplace violence; and other serious violations of policies, procedures, directives, regulations, rules, or practices. Literacy training includes how to communicate the concerns of employees and management regarding potential indicators of insider threat through channels established by the organization and in accordance with established policies and procedures. Organizations may consider tailoring insider threat awareness topics to the role. For example, training for managers may be focused on changes in the behavior of team members, while training for employees may be focused on more general observations.

+ + + + + +

literacy training on recognizing potential indicators of insider threat is provided;

+ + + + +

literacy training on reporting potential indicators of insider threat is provided.

+ + + + + + + + +

System security plan

+

privacy plan

+

literacy training and awareness policy

+

procedures addressing literacy training and awareness implementation

+

literacy training and awareness curriculum

+

literacy training and awareness materials

+

other relevant documents or records

+ + + + + + +

Organizational personnel who receive literacy training and awareness

+

organizational personnel with responsibilities for literacy training and awareness

+

organizational personnel with information security and privacy responsibilities

+ + + + + Social Engineering and Mining + + + + + + + + +

Provide literacy training on recognizing and reporting potential and actual instances of social engineering and social mining.

+ + +

Social engineering is an attempt to trick an individual into revealing information or taking an action that can be used to breach, compromise, or otherwise adversely impact a system. Social engineering includes phishing, pretexting, impersonation, baiting, quid pro quo, thread-jacking, social media exploitation, and tailgating. Social mining is an attempt to gather information about the organization that may be used to support future attacks. Literacy training includes information on how to communicate the concerns of employees and management regarding potential and actual instances of social engineering and data mining through organizational channels based on established policies and procedures.

+ + + + + +

literacy training on recognizing potential and actual instances of social engineering is provided;

+ + + + +

literacy training on reporting potential and actual instances of social engineering is provided;

+ + + + +

literacy training on recognizing potential and actual instances of social mining is provided;

+ + + + +

literacy training on reporting potential and actual instances of social mining is provided.

+ + + + + + + + +

System security plan

+

privacy plan

+

literacy training and awareness policy

+

procedures addressing literacy training and awareness implementation

+

literacy training and awareness curriculum

+

literacy training and awareness materials

+

other relevant documents or records

+ + + + + + +

Organizational personnel who receive literacy training and awareness

+

organizational personnel with responsibilities for literacy training and awareness

+

organizational personnel with information security and privacy responsibilities

+ + + + + Suspicious Communications and Anomalous System Behavior + + + + + +

indicators of malicious code are defined;

+ + + + + + + + + + +

Provide literacy training on recognizing suspicious communications and anomalous behavior in organizational systems using .

+ + +

A well-trained workforce provides another organizational control that can be employed as part of a defense-in-depth strategy to protect against malicious code coming into organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender that appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to suspicious email or web communications. For this process to work effectively, personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in systems can provide organizations with early warning for the presence of malicious code. Recognition of anomalous behavior by organizational personnel can supplement malicious code detection and protection tools and systems employed by organizations.

+ + + +

literacy training on recognizing suspicious communications and anomalous behavior in organizational systems using is provided.

+ + + + + + +

System security plan

+

privacy plan

+

literacy training and awareness policy

+

procedures addressing literacy training and awareness implementation

+

literacy training and awareness curriculum

+

literacy training and awareness materials

+

other relevant documents or records

+ + + + + + +

Organizational personnel who receive literacy training and awareness

+

organizational personnel with responsibilities for basic literacy training and awareness

+

organizational personnel with information security and privacy responsibilities

+ + + + + Advanced Persistent Threat + + + + + + + + +

Provide literacy training on the advanced persistent threat.

+ + +

An effective way to detect advanced persistent threats (APT) and to preclude successful attacks is to provide specific literacy training for individuals. Threat literacy training includes educating individuals on the various ways that APTs can infiltrate the organization (e.g., through websites, emails, advertisement pop-ups, articles, and social engineering). Effective training includes techniques for recognizing suspicious emails, use of removable systems in non-secure settings, and the potential targeting of individuals at home.

+ + + +

literacy training on the advanced persistent threat is provided.

+ + + + + + +

System security plan

+

privacy plan

+

literacy training and awareness policy

+

procedures addressing literacy training and awareness implementation

+

literacy training and awareness curriculum

+

literacy training and awareness materials

+

other relevant documents or records

+ + + + + + +

Organizational personnel who receive literacy training and awareness

+

organizational personnel with responsibilities for basic literacy training and awareness

+

organizational personnel with information security and privacy responsibilities

+ + + + + Cyber Threat Environment + + + + + + + + + + + +

Provide literacy training on the cyber threat environment; and

+ + + +

Reflect current cyber threat information in system operations.

+ + + +

Since threats continue to change over time, threat literacy training by the organization is dynamic. Moreover, threat literacy training is not performed in isolation from the system operations that support organizational mission and business functions.

+ + + + + +

literacy training on the cyber threat environment is provided;

+ + + + +

system operations reflects current cyber threat information.

+ + + + + + + + +

System security plan

+

privacy plan

+

literacy training and awareness policy

+

procedures addressing literacy training and awareness training implementation

+

literacy training and awareness curriculum

+

literacy training and awareness materials

+

other relevant documents or records

+ + + + + + +

Organizational personnel who receive literacy training and awareness

+

organizational personnel with responsibilities for basic literacy training and awareness

+

organizational personnel with information security and privacy responsibilities

+ + + + + + Role-based Training + + + + + + + + + +

roles and responsibilities for role-based security training are defined;

+ + + + + + +

roles and responsibilities for role-based privacy training are defined;

+ + + + + + + +

the frequency at which to provide role-based security and privacy training to assigned personnel after initial training is defined;

+ + + + + + + +

the frequency at which to update role-based training content is defined;

+ + + + + + + +

events that require role-based training content to be updated are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Provide role-based security and privacy training to personnel with the following roles and responsibilities: :

+ + +

Before authorizing access to the system, information, or performing assigned duties, and thereafter; and

+ + + +

When required by system changes;

+ + + + +

Update role-based training content and following ; and

+ + + +

Incorporate lessons learned from internal or external security incidents or breaches into role-based training.

+ + + +

Organizations determine the content of training based on the assigned roles and responsibilities of individuals as well as the security and privacy requirements of organizations and the systems to which personnel have authorized access, including technical training specifically tailored for assigned duties. Roles that may require role-based training include senior leaders or management officials (e.g., head of agency/chief executive officer, chief information officer, senior accountable official for risk management, senior agency information security officer, senior agency official for privacy), system owners; authorizing officials; system security officers; privacy officers; acquisition and procurement officials; enterprise architects; systems engineers; software developers; systems security engineers; privacy engineers; system, network, and database administrators; auditors; personnel conducting configuration management activities; personnel performing verification and validation activities; personnel with access to system-level software; control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel with access to personally identifiable information.

+

Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical controls. Role-based training also includes policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain risk management within the context of organizational security and privacy programs. Role-based training also applies to contractors who provide services to federal agencies. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Updating role-based training on a regular basis helps to ensure that the content remains relevant and effective. Events that may precipitate an update to role-based training content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

+ + + + + + + + + +

role-based security training is provided to before authorizing access to the system, information, or performing assigned duties;

+ + + + +

role-based privacy training is provided to before authorizing access to the system, information, or performing assigned duties;

+ + + + +

role-based security training is provided to thereafter;

+ + + + +

role-based privacy training is provided to thereafter;

+ + + + + + + + +

role-based security training is provided to personnel with assigned security roles and responsibilities when required by system changes;

+ + + + +

role-based privacy training is provided to personnel with assigned security roles and responsibilities when required by system changes;

+ + + + + + + + + + +

role-based training content is updated ;

+ + + + +

role-based training content is updated following ;

+ + + + + + +

lessons learned from internal or external security incidents or breaches are incorporated into role-based training.

+ + + + + + + + +

System security plan

+

privacy plan

+

security and privacy awareness and training policy

+

procedures addressing security and privacy training implementation

+

codes of federal regulations

+

security and privacy training curriculum

+

security and privacy training materials

+

training records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for role-based security and privacy training

+

organizational personnel with assigned system security and privacy roles and responsibilities

+ + + + + + +

Mechanisms managing role-based security and privacy training

+ + + + Environmental Controls + + + + + +

personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls are defined;

+ + + + + + + +

the frequency at which to provide refresher training in the employment and operation of environmental controls is defined;

+ + + + + + + + + + + + + + + +

Provide with initial and training in the employment and operation of environmental controls.

+ + +

Environmental controls include fire suppression and detection devices or systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature or humidity, heating, ventilation, air conditioning, and power within the facility.

+ + + +

are provided with initial and refresher training in the employment and operation of environmental controls.

+ + + + + + +

Security and privacy awareness and training policy

+

procedures addressing security and privacy training implementation

+

security and privacy training curriculum

+

security and privacy training materials

+

system security plan

+

privacy plan

+

training records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for role-based security and privacy training

+

organizational personnel with responsibilities for employing and operating environmental controls

+ + + + + Physical Security Controls + + + + + +

personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls is/are defined;

+ + + + + + + +

the frequency at which to provide refresher training in the employment and operation of physical security controls is defined;

+ + + + + + + + + + + + + +

Provide with initial and training in the employment and operation of physical security controls.

+ + +

Physical security controls include physical access control devices, physical intrusion and detection alarms, operating procedures for facility security guards, and monitoring or surveillance equipment.

+ + + +

is/are provided with initial and refresher training in the employment and operation of physical security controls.

+ + + + + + +

Security and privacy awareness and training policy

+

procedures addressing security and privacy training implementation

+

security and privacy training curriculum

+

security and privacy training materials

+

system security plan

+

privacy plan

+

training records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for role-based security and privacy training

+

organizational personnel with responsibilities for employing and operating physical security controls

+ + + + + Practical Exercises + + + + + + + + +

Provide practical exercises in security and privacy training that reinforce training objectives.

+ + +

Practical exercises for security include training for software developers that addresses simulated attacks that exploit common software vulnerabilities or spear or whale phishing attacks targeted at senior leaders or executives. Practical exercises for privacy include modules with quizzes on identifying and processing personally identifiable information in various scenarios or scenarios on conducting privacy impact assessments.

+ + + + + +

practical exercises in security training that reinforce training objectives are provided;

+ + + + +

practical exercises in privacy training that reinforce training objectives are provided.

+ + + + + + + + +

Security and privacy awareness and training policy

+

procedures addressing security and privacy awareness training implementation

+

security and privacy awareness training curriculum

+

security and privacy awareness training materials

+

security and privacy awareness training reports and results

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for role-based security and privacy training

+

organizational personnel who participate in security and privacy awareness training

+ + + + + Suspicious Communications and Anomalous System Behavior + + + + + + + + + Processing Personally Identifiable Information + + + + + +

personnel or roles to be provided with initial and refresher training in the employment and operation of personally identifiable information processing and transparency controls is/are defined;

+ + + + + + + +

the frequency at which to provide refresher training in the employment and operation of personally identifiable information processing and transparency controls is defined;

+ + + + + + + + + + + + + + +

Provide with initial and training in the employment and operation of personally identifiable information processing and transparency controls.

+ + +

Personally identifiable information processing and transparency controls include the organization’s authority to process personally identifiable information and personally identifiable information processing purposes. Role-based training for federal agencies addresses the types of information that may constitute personally identifiable information and the risks, considerations, and obligations associated with its processing. Such training also considers the authority to process personally identifiable information documented in privacy policies and notices, system of records notices, computer matching agreements and notices, privacy impact assessments, PRIVACT statements, contracts, information sharing agreements, memoranda of understanding, and/or other documentation.

+ + + +

are provided with initial and refresher training in the employment and operation of personally identifiable information processing and transparency controls.

+ + + + + + +

Security and privacy awareness and training policy

+

procedures addressing security and privacy awareness training implementation

+

security and privacy awareness training curriculum

+

security and privacy awareness training materials

+

system security plan

+

privacy plan

+

organizational privacy notices

+

organizational policies

+

system of records notices

+

Privacy Act statements

+

computer matching agreements and notices

+

privacy impact assessments

+

information sharing agreements

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for role-based security and privacy training

+

organizational personnel who participate in security and privacy awareness training

+ + + + + + Training Records + + + + + +

time period for retaining individual training records is defined;

+ + + + + + + + + + + + + + + + + + +

Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and

+ + + +

Retain individual training records for .

+ + + +

Documentation for specialized training may be maintained by individual supervisors at the discretion of the organization. The National Archives and Records Administration provides guidance on records retention for federal agencies.

+ + + + + + + +

information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are documented;

+ + + + +

information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are monitored;

+ + + + + + +

individual training records are retained for .

+ + + + + + + + +

Security and privacy awareness and training policy

+

procedures addressing security and privacy training records

+

security and privacy awareness and training records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy training record retention responsibilities

+ + + + + + +

Mechanisms supporting the management of security and privacy training records

+ + + + + Contacts with Security Groups and Associations + + + + + + + + + Training Feedback + + + + + +

frequency at which to provide feedback on organizational training results is defined;

+ + + + + + + +

personnel to whom feedback on organizational training results will be provided is/are assigned;

+ + + + + + + + + +

Provide feedback on organizational training results to the following personnel : .

+ + +

Training feedback includes awareness training results and role-based training results. Training results, especially failures of personnel in critical roles, can be indicative of a potentially serious problem. Therefore, it is important that senior managers are made aware of such situations so that they can take appropriate response actions. Training feedback supports the evaluation and update of organizational training described in AT-2b and AT-3b.

+ + + +

feedback on organizational training results is provided to .

+ + + + + + +

Security awareness and training policy

+

procedures addressing security training records

+

security awareness and training records

+

security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security training record retention responsibilities

+ + + + + + +

Mechanisms supporting the management of security training records

+ + + + + + Audit and Accountability + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the audit and accountability policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the audit and accountability procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the audit and accountability policy and procedures is defined;

+ + + + + + + +

the frequency at which the current audit and accountability policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current audit and accountability policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current audit and accountability procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require audit and accountability procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

audit and accountability policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and

+ + + +

Review and update the current audit and accountability:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

an audit and accountability policy is developed and documented;

+ + + + +

the audit and accountability policy is disseminated to ;

+ + + + +

audit and accountability procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls are developed and documented;

+ + + + +

the audit and accountability procedures are disseminated to ;

+ + + + + + + + +

the of the audit and accountability policy addresses purpose;

+ + + + +

the of the audit and accountability policy addresses scope;

+ + + + +

the of the audit and accountability policy addresses roles;

+ + + + +

the of the audit and accountability policy addresses responsibilities;

+ + + + +

the of the audit and accountability policy addresses management commitment;

+ + + + +

the of the audit and accountability policy addresses coordination among organizational entities;

+ + + + +

the of the audit and accountability policy addresses compliance;

+ + + + + + +

the of the audit and accountability policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the audit and accountability policy and procedures;

+ + + + + + + + +

the current audit and accountability policy is reviewed and updated ;

+ + + + +

the current audit and accountability policy is reviewed and updated following ;

+ + + + + + + + +

the current audit and accountability procedures are reviewed and updated ;

+ + + + +

the current audit and accountability procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Audit and accountability policy and procedures

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Event Logging + + + + + + + + + + + +

the event types that the system is capable of logging in support of the audit function are defined;

+ + + + + + +

the event types (subset of AU-02_ODP[01]) for logging within the system are defined;

+ + + + + + +

the frequency or situation requiring logging for each specified event type is defined;

+ + + + + + + +

the frequency of event types selected for logging are reviewed and updated;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Identify the types of events that the system is capable of logging in support of the audit function: ;

+ + + +

Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;

+ + + +

Specify the following event types for logging within the system: ;

+ + + +

Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and

+ + + +

Review and update the event types selected for logging .

+ + + +

An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes, failed logons or failed accesses related to systems, security or privacy attribute changes, administrative privilege usage, PIV credential usage, data action changes, query parameters, or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system.

+

To balance monitoring and auditing requirements with other system needs, event logging requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the logging event is based on patterns or time of usage.

+

Event logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include AC-2(4), AC-3(10), AC-6(9), AC-17(1), CM-3f, CM-5(1), IA-3(3)(b), MA-4(1), MP-4(2), PE-3, PM-21, PT-7, RA-8, SC-7(9), SC-7(15), SI-3(8), SI-4(22), SI-7(8) , and SI-10(1) . Organizations include event types that are required by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of event logging is an important part of a monitoring and auditing capability and can identify the root causes of problems. When defining event types, organizations consider the logging necessary to cover related event types, such as the steps in distributed, transaction-based processes and the actions that occur in service-oriented architectures.

+ + + + + +

that the system is capable of logging are identified in support of the audit logging function;

+ + + + +

the event logging function is coordinated with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;

+ + + + + + +

are specified for logging within the system;

+ + + + +

the specified event types are logged within the system ;

+ + + + + + +

a rationale is provided for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents;

+ + + + +

the event types selected for logging are reviewed and updated .

+ + + + + + + + +

Audit and accountability policy

+

procedures addressing auditable events

+

system security plan

+

privacy plan

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system auditable events

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing system auditing

+ + + + Compilation of Audit Records from Multiple Sources + + + + + + + + + Selection of Audit Events by Component + + + + + + + + + Reviews and Updates + + + + + + + + + Privileged Functions + + + + + + + + + + Content of Audit Records + + + + + + + + + + + + + + + + + +

Ensure that audit records contain information that establishes the following:

+ + +

What type of event occurred;

+ + + +

When the event occurred;

+ + + +

Where the event occurred;

+ + + +

Source of the event;

+ + + +

Outcome of the event; and

+ + + +

Identity of any individuals, subjects, or objects/entities associated with the event.

+ + + +

Audit record content that may be necessary to support the auditing function includes event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risks and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the trail records inputs or is based on patterns or time of usage.

+ + + + + +

audit records contain information that establishes what type of event occurred;

+ + + + +

audit records contain information that establishes when the event occurred;

+ + + + +

audit records contain information that establishes where the event occurred;

+ + + + +

audit records contain information that establishes the source of the event;

+ + + + +

audit records contain information that establishes the outcome of the event;

+ + + + +

audit records contain information that establishes the identity of any individuals, subjects, or objects/entities associated with the event.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing content of audit records

+

system design documentation

+

system configuration settings and associated documentation

+

list of organization-defined auditable events

+

system audit records

+

system incident reports

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing system auditing of auditable events

+ + + + Additional Audit Information + + + + + +

additional information to be included in audit records is defined;

+ + + + + + + + + +

Generate audit records containing the following additional information: .

+ + +

The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information that is explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading, make it more difficult to locate information of interest, or increase the risk to individuals' privacy.

+ + + +

generated audit records contain the following .

+ + + + + + +

Audit and accountability policy

+

procedures addressing content of audit records

+

system security plan

+

privacy plan

+

system design documentation

+

system configuration settings and associated documentation

+

list of organization-defined auditable events

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

system audit capability

+ + + + + Centralized Management of Planned Audit Record Content + + + + + + + + + Limit Personally Identifiable Information Elements + + + + + +

elements identified in the privacy risk assessment are defined;

+ + + + + + + + + + +

Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: .

+ + +

Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system.

+ + + +

personally identifiable information contained in audit records is limited to identified in the privacy risk assessment.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

privacy risk assessment

+

privacy risk assessment results

+

procedures addressing content of audit records

+

system design documentation

+

system configuration settings and associated documentation

+

list of organization-defined auditable events

+

system audit records

+

third party contracts

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

system audit capability

+ + + + + + Audit Log Storage Capacity + + + + + +

audit log retention requirements are defined;

+ + + + + + + + + + + + + + + + + + +

Allocate audit log storage capacity to accommodate .

+ + +

Organizations consider the types of audit logging to be performed and the audit log processing requirements when allocating audit log storage capacity. Allocating sufficient audit log storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of audit logging capability.

+ + + +

audit log storage capacity is allocated to accommodate .

+ + + + + + +

Audit and accountability policy

+

procedures addressing audit storage capacity

+

system security plan

+

privacy plan

+

system design documentation

+

system configuration settings and associated documentation

+

audit record storage requirements

+

audit record storage capability for system components

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Audit record storage capacity and related configuration settings

+ + + + Transfer to Alternate Storage + + + + + +

the frequency of audit logs transferred to a different system, system component, or media other than the system or system component conducting the logging is defined;

+ + + + + + + + + + +

Transfer audit logs to a different system, system component, or media other than the system or system component conducting the logging.

+ + +

Audit log transfer, also known as off-loading, is a common process in systems with limited audit log storage capacity and thus supports availability of the audit logs. The initial audit log storage is only used in a transitory fashion until the system can communicate with the secondary or alternate system allocated to audit log storage, at which point the audit logs are transferred. Transferring audit logs to alternate storage is similar to AU-9(2) in that audit logs are transferred to a different entity. However, the purpose of selecting AU-9(2) is to protect the confidentiality and integrity of audit records. Organizations can select either control enhancement to obtain the benefit of increased audit log storage capacity and preserving the confidentiality, integrity, and availability of audit records and logs.

+ + + +

audit logs are transferred to a different system, system component, or media other than the system or system component conducting the logging.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit storage capacity

+

procedures addressing transfer of system audit records to secondary or alternate systems

+

system design documentation

+

system configuration settings and associated documentation

+

logs of audit record transfers to secondary or alternate systems

+

system audit records transferred to secondary or alternate systems

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit storage capacity planning responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting the transfer of audit records onto a different system

+ + + + + + Response to Audit Logging Process Failures + + + + + +

personnel or roles receiving audit logging process failure alerts are defined;

+ + + + + + + +

time period for personnel or roles receiving audit logging process failure alerts is defined;

+ + + + + + + +

additional actions to be taken in the event of an audit logging process failure are defined;

+ + + + + + + + + + + + + + + + + + + +

Alert within in the event of an audit logging process failure; and

+ + + +

Take the following additional actions: .

+ + + +

Audit logging process failures include software and hardware errors, failures in audit log capturing mechanisms, and reaching or exceeding audit log storage capacity. Organization-defined actions include overwriting oldest audit records, shutting down the system, and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored), the system on which the audit logs reside, the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel.

+ + + + + +

are alerted in the event of an audit logging process failure within ;

+ + + + +

are taken in the event of an audit logging process failure.

+ + + + + + + + +

Audit and accountability policy

+

procedures addressing response to audit processing failures

+

system design documentation

+

system security plan

+

privacy plan

+

system configuration settings and associated documentation

+

list of personnel to be notified in case of an audit processing failure

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing system response to audit processing failures

+ + + + Storage Capacity Warning + + + + + +

personnel, roles, and/or locations to be warned when allocated audit log storage volume reaches a percentage of repository maximum audit log storage capacity.

+ + + + + + + +

time period for defined personnel, roles, and/or locations to be warned when allocated audit log storage volume reaches a percentage of repository maximum audit log storage capacity is defined;

+ + + + + + + +

percentage of repository maximum audit log storage capacity is defined;

+ + + + + + + + + +

Provide a warning to within when allocated audit log storage volume reaches of repository maximum audit log storage capacity.

+ + +

Organizations may have multiple audit log storage repositories distributed across multiple system components with each repository having different storage volume capacities.

+ + + +

a warning is provided to within when allocated audit log storage volume reaches of repository maximum audit log storage capacity.

+ + + + + + +

Audit and accountability policy

+

procedures addressing response to audit processing failures

+

system design documentation

+

system security plan

+

privacy system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing audit storage limit warnings

+ + + + + Real-time Alerts + + + + + +

real-time period requiring alerts when audit failure events (defined in AU-05(02)_ODP[03]) occur is defined;

+ + + + + + + +

personnel, roles, and/or locations to be alerted in real time when audit failure events (defined in AU-05(02)_ODP[03]) occur is/are defined;

+ + + + + + + +

audit logging failure events requiring real-time alerts are defined;

+ + + + + + + + + +

Provide an alert within to when the following audit failure events occur: .

+ + +

Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).

+ + + +

an alert is provided within to when occur.

+ + + + + + +

Audit and accountability policy

+

procedures addressing response to audit processing failures

+

system design documentation

+

system security plan

+

privacy plan

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + Configurable Traffic Volume Thresholds + + + + + + + + + + + + +

Enforce configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity and network traffic above those thresholds.

+ + +

Organizations have the capability to reject or delay the processing of network communications traffic if audit logging information about such traffic is determined to exceed the storage capacity of the system audit logging function. The rejection or delay response is triggered by the established organizational traffic volume thresholds that can be adjusted based on changes to audit log storage capacity.

+ + + + + +

configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity are enforced;

+ + + + +

network traffic is if network traffic volume is above configured thresholds.

+ + + + + + + + +

Audit and accountability policy

+

procedures addressing response to audit processing failures

+

system design documentation

+

system security plan

+

privacy plan

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + Shutdown on Failure + + + + + + + + + + +

audit logging failures that trigger a change in operational mode are defined;

+ + + + + + + + + + +

Invoke a in the event of , unless an alternate audit logging capability exists.

+ + +

Organizations determine the types of audit logging failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit logging failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational mission and business functions. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.

+ + + +

is/are invoked in the event of , unless an alternate audit logging capability exists.

+ + + + + + +

Audit and accountability policy

+

procedures addressing response to audit processing failures

+

system design documentation

+

system security plan

+

privacy plan

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

System capability invoking system shutdown or degraded operational mode in the event of an audit processing failure

+ + + + + Alternate Audit Logging Capability + + + + + +

an alternate audit logging functionality in the event of a failure in primary audit logging capability is defined;

+ + + + + + + + + + +

Provide an alternate audit logging capability in the event of a failure in primary audit logging capability that implements .

+ + +

Since an alternate audit logging capability may be a short-term protection solution employed until the failure in the primary audit logging capability is corrected, organizations may determine that the alternate audit logging capability need only provide a subset of the primary audit logging functionality that is impacted by the failure.

+ + + +

an alternate audit logging capability is provided in the event of a failure in primary audit logging capability that implements .

+ + + + + + +

Audit and accountability policy

+

procedures addressing response to audit processing failures

+

system design documentation

+

system security plan

+

privacy plan

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Alternate audit logging capability

+ + + + + + Audit Record Review, Analysis, and Reporting + + + + + +

frequency at which system audit records are reviewed and analyzed is defined;

+ + + + + + + +

inappropriate or unusual activity is defined;

+ + + + + + + +

personnel or roles to receive findings from reviews and analyses of system records is/are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Review and analyze system audit records for indications of and the potential impact of the inappropriate or unusual activity;

+ + + +

Report findings to ; and

+ + + +

Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.

+ + + +

Audit record review, analysis, and reporting covers information security- and privacy-related logging performed by organizations, including logging that results from the monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and non-local maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at system interfaces, and use of mobile code or Voice over Internet Protocol (VoIP). Findings can be reported to organizational entities that include the incident response team, help desk, and security or privacy offices. If organizations are prohibited from reviewing and analyzing audit records or unable to conduct such activities, the review or analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit record review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.

+ + + + + +

system audit records are reviewed and analyzed for indications of and the potential impact of the inappropriate or unusual activity;

+ + + + +

findings are reported to ;

+ + + + +

the level of audit record review, analysis, and reporting within the system is adjusted when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit review, analysis, and reporting

+

reports of audit findings

+

records of actions taken in response to reviews/analyses of audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit review, analysis, and reporting responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + Automated Process Integration + + + + + +

automated mechanisms used for integrating audit record review, analysis, and reporting processes are defined;

+ + + + + + + + + + + +

Integrate audit record review, analysis, and reporting processes using .

+ + +

Organizational processes that benefit from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits.

+ + + +

audit record review, analysis, and reporting processes are integrated using .

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit review, analysis, and reporting

+

procedures addressing investigation and response to suspicious activities

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit review, analysis, and reporting responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms integrating audit review, analysis, and reporting processes

+ + + + + Automated Security Alerts + + + + + + + + + Correlate Audit Record Repositories + + + + + + + + + + +

Analyze and correlate audit records across different repositories to gain organization-wide situational awareness.

+ + +

Organization-wide situational awareness includes awareness across all three levels of risk management (i.e., organizational level, mission/business process level, and information system level) and supports cross-organization awareness.

+ + + +

audit records across different repositories are analyzed and correlated to gain organization-wide situational awareness.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit review, analysis, and reporting

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records across different repositories

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit review, analysis, and reporting responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms supporting the analysis and correlation of audit records

+ + + + + Central Review and Analysis + + + + + + + + + + +

Provide and implement the capability to centrally review and analyze audit records from multiple components within the system.

+ + +

Automated mechanisms for centralized reviews and analyses include Security Information and Event Management products.

+ + + + + +

the capability to centrally review and analyze audit records from multiple components within the system is provided;

+ + + + +

the capability to centrally review and analyze audit records from multiple components within the system is implemented.

+ + + + + + + + +

Audit and accountability policy

+

procedures addressing audit review, analysis, and reporting

+

system design documentation

+

system configuration settings and associated documentation

+

system security plan

+

privacy plan

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit review, analysis, and reporting responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

System capability to centralize review and analysis of audit records

+ + + + + Integrated Analysis of Audit Records + + + + + + + + + + +

data/information collected from other sources to be analyzed is defined (if selected);

+ + + + + + + + + + + + +

Integrate analysis of audit records with analysis of to further enhance the ability to identify inappropriate or unusual activity.

+ + +

Integrated analysis of audit records does not require vulnerability scanning, the generation of performance data, or system monitoring. Rather, integrated analysis requires that the analysis of information generated by scanning, monitoring, or other data collection activities is integrated with the analysis of audit record information. Security Information and Event Management tools can facilitate audit record aggregation or consolidation from multiple system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans of the system and in correlating attack detection events with scanning results. Correlation with performance data can uncover denial-of-service attacks or other types of attacks that result in the unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.

+ + + +

analysis of audit records is integrated with analysis of to further enhance the ability to identify inappropriate or unusual activity.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit review, analysis, and reporting

+

system design documentation

+

system configuration settings and associated documentation

+

integrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information, and associated documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit review, analysis, and reporting responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms implementing the capability to integrate analysis of audit records with analysis of data/information sources

+ + + + + Correlation with Physical Monitoring + + + + + + + + +

Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.

+ + +

The correlation of physical audit record information and the audit records from systems may assist organizations in identifying suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain systems with the additional physical security information that the individual was present at the facility when the logical access occurred may be useful in investigations.

+ + + +

information from audit records is correlated with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.

+ + + + + + +

Audit and accountability policy

+

procedures addressing audit review, analysis, and reporting

+

procedures addressing physical access monitoring

+

system design documentation

+

system configuration settings and associated documentation

+

documentation providing evidence of correlated information obtained from audit records and physical access monitoring records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit review, analysis, and reporting responsibilities

+

organizational personnel with physical access monitoring responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms implementing the capability to correlate information from audit records with information from monitoring physical access

+ + + + + Permitted Actions + + + + + + + + + + + + + +

Specify the permitted actions for each associated with the review, analysis, and reporting of audit record information.

+ + +

Organizations specify permitted actions for system processes, roles, and users associated with the review, analysis, and reporting of audit records through system account management activities. Specifying permitted actions on audit record information is a way to enforce the principle of least privilege. Permitted actions are enforced by the system and include read, write, execute, append, and delete.

+ + + +

the permitted actions for each associated with the review, analysis, and reporting of audit record information are specified.

+ + + + + + +

Audit and accountability policy

+

procedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit review, analysis, and reporting responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms supporting permitted actions for the review, analysis, and reporting of audit information

+ + + + + Full Text Analysis of Privileged Commands + + + + + + + + + + + + +

Perform a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis.

+ + +

Full text analysis of privileged commands requires a distinct environment for the analysis of audit record information related to privileged users without compromising such information on the system where the users have elevated privileges, including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes the use of pattern matching and heuristics.

+ + + +

a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system or other system that is dedicated to that analysis is performed.

+ + + + + + +

Audit and accountability policy

+

procedures addressing audit review, analysis, and reporting

+

system design documentation

+

system configuration settings and associated documentation

+

text analysis tools and techniques

+

text analysis documentation of audited privileged commands

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit review, analysis, and reporting responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms implementing the capability to perform a full text analysis of audited privilege commands

+ + + + + Correlation with Information from Nontechnical Sources + + + + + + + + + +

Correlate information from nontechnical sources with audit record information to enhance organization-wide situational awareness.

+ + +

Nontechnical sources include records that document organizational policy violations related to harassment incidents and the improper use of information assets. Such information can lead to a directed analytical effort to detect potential malicious insider activity. Organizations limit access to information that is available from nontechnical sources due to its sensitive nature. Limited access minimizes the potential for inadvertent release of privacy-related information to individuals who do not have a need to know. The correlation of information from nontechnical sources with audit record information generally occurs only when individuals are suspected of being involved in an incident. Organizations obtain legal advice prior to initiating such actions.

+ + + +

information from non-technical sources is correlated with audit record information to enhance organization-wide situational awareness.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit review, analysis, and reporting

+

system design documentation

+

system configuration settings and associated documentation

+

documentation providing evidence of correlated information obtained from audit records and organization-defined non-technical sources

+

list of information types from non-technical sources for correlation with audit information

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit review, analysis, and reporting responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms implementing capability to correlate information from non-technical sources

+ + + + + Audit Level Adjustment + + + + + + + + + + Audit Record Reduction and Report Generation + + + + + + + + + + + + + + + + + + + + +

Provide and implement an audit record reduction and report generation capability that:

+ + +

Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and

+ + + +

Does not alter the original content or time ordering of audit records.

+ + + +

Audit record reduction is a process that manipulates collected audit log information and organizes it into a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities that conduct audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient.

+ + + + + + + +

an audit record reduction and report generation capability is provided that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents;

+ + + + +

an audit record reduction and report generation capability is implemented that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents;

+ + + + + + + + +

an audit record reduction and report generation capability is provided that does not alter the original content or time ordering of audit records;

+ + + + +

an audit record reduction and report generation capability is implemented that does not alter the original content or time ordering of audit records.

+ + + + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit reduction and report generation

+

system design documentation

+

system configuration settings and associated documentation

+

audit reduction, review, analysis, and reporting tools

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit reduction and report generation responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Audit reduction and report generation capability

+ + + + Automatic Processing + + + + + +

fields within audit records that can be processed, sorted, or searched are defined;

+ + + + + + + + + + +

Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: .

+ + +

Events of interest can be identified by the content of audit records, including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, such as locations selectable by a general networking location or by specific system component.

+ + + + + +

the capability to process, sort, and search audit records for events of interest based on are provided;

+ + + + +

the capability to process, sort, and search audit records for events of interest based on are implemented.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit reduction and report generation

+

system design documentation

+

system configuration settings and associated documentation

+

audit reduction, review, analysis, and reporting tools

+

audit record criteria (fields) establishing events of interest

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit reduction and report generation responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Audit reduction and report generation capability

+ + + + + Automatic Sort and Search + + + + + + + + + + Time Stamps + + + + + +

granularity of time measurement for audit record timestamps is defined;

+ + + + + + + + + + + + + + +

Use internal system clocks to generate time stamps for audit records; and

+ + + +

Record time stamps for audit records that meet and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or that include the local time offset as part of the time stamp.

+ + + +

Time stamps generated by the system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks (e.g., clocks synchronizing within hundreds of milliseconds or tens of milliseconds). Organizations may define different time granularities for different system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.

+ + + + + +

internal system clocks are used to generate timestamps for audit records;

+ + + + +

timestamps are recorded for audit records that meet and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or include the local time offset as part of the timestamp.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing timestamp generation

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing timestamp generation

+ + + + Synchronization with Authoritative Time Source + + + + + + + + + Secondary Authoritative Time Source + + + + + + + + + + Protection of Audit Information + + + + + +

personnel or roles to be alerted upon detection of unauthorized access, modification, or deletion of audit information is/are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + +

Protect audit information and audit logging tools from unauthorized access, modification, and deletion; and

+ + + +

Alert upon detection of unauthorized access, modification, or deletion of audit information.

+ + + +

Audit information includes all information needed to successfully audit system activity, such as audit records, audit log settings, audit reports, and personally identifiable information. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls.

+ + + + + +

audit information and audit logging tools are protected from unauthorized access, modification, and deletion;

+ + + + +

are alerted upon detection of unauthorized access, modification, or deletion of audit information.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

access control policy and procedures

+

procedures addressing protection of audit information

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

audit tools

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing audit information protection

+ + + + Hardware Write-once Media + + + + + + + + + +

Write audit trails to hardware-enforced, write-once media.

+ + +

Writing audit trails to hardware-enforced, write-once media applies to the initial generation of audit trails (i.e., the collection of audit records that represents the information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. Writing audit trails to hardware-enforced, write-once media does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes Compact Disc-Recordable (CD-R), Blu-Ray Disc Recordable (BD-R), and Digital Versatile Disc-Recordable (DVD-R). In contrast, the use of switchable write-protection media, such as tape cartridges, Universal Serial Bus (USB) drives, Compact Disc Re-Writeable (CD-RW), and Digital Versatile Disc-Read Write (DVD-RW) results in write-protected but not write-once media.

+ + + +

audit trails are written to hardware-enforced, write-once media.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

access control policy and procedures

+

procedures addressing protection of audit information

+

system design documentation

+

system hardware settings

+

system configuration settings and associated documentation

+

system storage media

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

System media storing audit trails

+ + + + + Store on Separate Physical Systems or Components + + + + + +

the frequency of storing audit records in a repository is defined;

+ + + + + + + + + + + +

Store audit records in a repository that is part of a physically different system or system component than the system or component being audited.

+ + +

Storing audit records in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. Storing audit records on separate physical systems or components also preserves the confidentiality and integrity of audit records and facilitates the management of audit records as an organization-wide activity. Storing audit records on separate systems or components applies to initial generation as well as backup or long-term storage of audit records.

+ + + +

audit records are stored in a repository that is part of a physically different system or system component than the system or component being audited.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing protection of audit information

+

system design documentation

+

system configuration settings and associated documentation

+

system or media storing backups of system audit records

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing the backing up of audit records

+ + + + + Cryptographic Protection + + + + + + + + + + +

Implement cryptographic mechanisms to protect the integrity of audit information and audit tools.

+ + +

Cryptographic mechanisms used for protecting the integrity of audit information include signed hash functions using asymmetric cryptography. This enables the distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.

+ + + +

cryptographic mechanisms to protect the integrity of audit information and audit tools are implemented.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

access control policy and procedures

+

procedures addressing protection of audit information

+

system design documentation

+

system hardware settings

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Cryptographic mechanisms protecting the integrity of audit information and tools

+ + + + + Access by Subset of Privileged Users + + + + + +

a subset of privileged users or roles authorized to access management of audit logging functionality is defined;

+ + + + + + + + + + +

Authorize access to management of audit logging functionality to only .

+ + +

Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges.

+ + + +

access to management of audit logging functionality is authorized only to .

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

access control policy and procedures

+

procedures addressing protection of audit information

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of privileged users with access to management of audit functionality

+

access authorizations

+

access control list

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms managing access to audit functionality

+ + + + + Dual Authorization + + + + + + + + + + +

audit information for which dual authorization is to be enforced is defined;

+ + + + + + + + + + + +

Enforce dual authorization for of .

+ + +

Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

+ + + +

dual authorization is enforced for the of .

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

access control policy and procedures

+

procedures addressing protection of audit information

+

system design documentation

+

system configuration settings and associated documentation

+

access authorizations

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing the enforcement of dual authorization

+ + + + + Read-only Access + + + + + +

a subset of privileged users or roles with authorized read-only access to audit information is defined;

+ + + + + + + + + + +

Authorize read-only access to audit information to .

+ + +

Restricting privileged user or role authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users or roles, such as deleting audit records to cover up malicious activity.

+ + + +

read-only access to audit information is authorized to .

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

access control policy and procedures

+

procedures addressing protection of audit information

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of privileged users with read-only access to audit information

+

access authorizations

+

access control list

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms managing access to audit information

+ + + + + Store on Component with Different Operating System + + + + + + + + + + + +

Store audit information on a component running a different operating system than the system or component being audited.

+ + +

Storing auditing information on a system component running a different operating system reduces the risk of a vulnerability specific to the system, resulting in a compromise of the audit records.

+ + + +

audit information is stored on a component running a different operating system than the system or component being audited.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

access control policy and procedures

+

procedures addressing protection of audit information

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit and accountability responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing operating system verification capability

+

mechanisms verifying audit information storage location

+ + + + + + Non-repudiation + + + + + + +

actions to be covered by non-repudiation are defined;

+ + + + + + + + + + + + + + + + + + + + + + + +

Provide irrefutable evidence that an individual (or process acting on behalf of an individual) has performed .

+ + +

Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects against claims by authors of not having authored certain documents, senders of not having transmitted messages, receivers of not having received messages, and signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from an individual or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request, or receiving specific information). Organizations obtain non-repudiation services by employing various techniques or mechanisms, including digital signatures and digital message receipts.

+ + + +

irrefutable evidence is provided that an individual (or process acting on behalf of an individual) has performed .

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing non-repudiation

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing non-repudiation capability

+ + + + Association of Identities + + + + + +

the strength of binding between the identity of the information producer and the information is defined;

+ + + + + + + + + + + + + + +

Bind the identity of the information producer with the information to ; and

+ + + +

Provide the means for authorized individuals to determine the identity of the producer of the information.

+ + + +

Binding identities to the information supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of attribute binding between the information producer and the information based on the security category of the information and other relevant risk factors.

+ + + + + +

the identity of the information producer is bound with the information to ;

+ + + + +

the means for authorized individuals to determine the identity of the producer of the information is provided.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing non-repudiation

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing non-repudiation capability

+ + + + + Validate Binding of Information Producer Identity + + + + + +

the frequency at which to validate the binding of the information producer identity to the information is defined;

+ + + + + + + +

the actions to be performed in the event of a validation error are defined;

+ + + + + + + + + + + + + + + +

Validate the binding of the information producer identity to the information at ; and

+ + + +

Perform in the event of a validation error.

+ + + +

Validating the binding of the information producer identity to the information prevents the modification of information between production and review. The validation of bindings can be achieved by, for example, using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

+ + + + + +

the binding of the information producer identity to the information is validated at ;

+ + + + +

in the event of a validation error are performed.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing non-repudiation

+

system design documentation

+

system configuration settings and associated documentation

+

validation records

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing non-repudiation capability

+ + + + + Chain of Custody + + + + + + + + + + + +

Maintain reviewer or releaser credentials within the established chain of custody for information reviewed or released.

+ + +

Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each individual who handled the evidence, the date and time the evidence was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the credentials of reviewers or releasers provides the organization with the means to identify who reviewed and released the information. In the case of automated reviews, it ensures that only approved review functions are used.

+ + + +

reviewer or releaser credentials are maintained within the established chain of custody for information reviewed or released.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing non-repudiation

+

system design documentation

+

system configuration settings and associated documentation

+

records of information reviews and releases

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Automated mechanisms implementing non-repudiation capability

+ + + + + Validate Binding of Information Reviewer Identity + + + + + +

security domains for which the binding of the information reviewer identity to the information is to be validated at transfer or release are defined;

+ + + + + + + +

actions to be performed in the event of a validation error are defined;

+ + + + + + + + + + + + + + +

Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between ; and

+ + + +

Perform in the event of a validation error.

+ + + +

Validating the binding of the information reviewer identity to the information at transfer or release points prevents the unauthorized modification of information between review and the transfer or release. The validation of bindings can be achieved by using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

+ + + + + +

the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between is validated;

+ + + + +

are performed in the event of a validation error.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing non-repudiation

+

system design documentation

+

system configuration settings and associated documentation

+

validation records

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing non-repudiation capability

+ + + + + Digital Signatures + + + + + + + + + + Audit Record Retention + + + + + + +

a time period to retain audit records that is consistent with the records retention policy is defined;

+ + + + + + + + + + + + + + + + + + +

Retain audit records for to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.

+ + +

Organizations retain audit records until it is determined that the records are no longer needed for administrative, legal, audit, or other operational purposes. This includes the retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on records retention.

+ + + +

audit records are retained for to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

audit record retention policy and procedures

+

security plan

+

organization-defined retention period for audit records

+

audit record archives

+

audit logs

+

audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit record retention responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + Long-term Retrieval Capability + + + + + +

measures to be employed to ensure that long-term audit records generated by the system can be retrieved are defined;

+ + + + + + + + + + +

Employ to ensure that long-term audit records generated by the system can be retrieved.

+ + +

Organizations need to access and read audit records requiring long-term storage (on the order of years). Measures employed to help facilitate the retrieval of audit records include converting records to newer formats, retaining equipment capable of reading the records, and retaining the necessary documentation to help personnel understand how to interpret the records.

+ + + +

are employed to ensure that long-term audit records generated by the system can be retrieved.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

audit record retention policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

audit record archives

+

audit logs

+

audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit record retention responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing audit record retention capability

+ + + + + + Audit Record Generation + + + + + +

system components that provide an audit record generation capability for the events types (defined in AU-02_ODP[02]) are defined;

+ + + + + + + +

personnel or roles allowed to select the event types that are to be logged by specific components of the system is/are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Provide audit record generation capability for the event types the system is capable of auditing as defined in AU-2a on ;

+ + + +

Allow to select the event types that are to be logged by specific components of the system; and

+ + + +

Generate audit records for the event types defined in AU-2c that include the audit record content defined in AU-3.

+ + + +

Audit records can be generated from many different system components. The event types specified in AU-2d are the event types for which audit logs are to be generated and are a subset of all event types for which the system can generate audit records.

+ + + + + +

audit record generation capability for the event types the system is capable of auditing (defined in AU-02_ODP[01]) is provided by ;

+ + + + +

is/are allowed to select the event types that are to be logged by specific components of the system;

+ + + + +

audit records for the event types defined in AU-02_ODP[02] that include the audit record content defined in AU-03 are generated.

+ + + + + + + + +

Audit and accountability policy

+

procedures addressing audit record generation

+

system security plan

+

privacy plan

+

system design documentation

+

system configuration settings and associated documentation

+

list of auditable events

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit record generation responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing audit record generation capability

+ + + + System-wide and Time-correlated Audit Trail + + + + + +

system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail are defined;

+ + + + + + + + +

level of tolerance for the relationship between timestamps of individual records in the audit trail is defined;

+ + + + + + + + + + + +

Compile audit records from into a system-wide (logical or physical) audit trail that is time-correlated to within .

+ + +

Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.

+ + + +

audit records from are compiled into a system-wide (logical or physical) audit trail that is time-correlated to within .

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit record generation

+

system design documentation

+

system configuration settings and associated documentation

+

system-wide audit trail (logical or physical)

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit record generation responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing audit record generation capability

+ + + + + Standardized Formats + + + + + + + +

Produce a system-wide (logical or physical) audit trail composed of audit records in a standardized format.

+ + +

Audit records that follow common standards promote interoperability and information exchange between devices and systems. Promoting interoperability and information exchange facilitates the production of event information that can be readily analyzed and correlated. If logging mechanisms do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.

+ + + +

a system-wide (logical or physical) audit trail composed of audit records is produced in a standardized format.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit record generation

+

system design documentation

+

system configuration settings and associated documentation

+

system-wide audit trail (logical or physical)

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit record generation responsibilities

+

organizational personnel with security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing audit record generation capability

+ + + + + Changes by Authorized Individuals + + + + + +

individuals or roles authorized to change the logging on system components are defined;

+ + + + + + + +

system components on which logging is to be performed are defined;

+ + + + + + + +

selectable event criteria with which change logging is to be performed are defined;

+ + + + + + + +

time thresholds in which logging actions are to change is defined;

+ + + + + + + + + + +

Provide and implement the capability for to change the logging to be performed on based on within .

+ + +

Permitting authorized individuals to make changes to system logging enables organizations to extend or limit logging as necessary to meet organizational requirements. Logging that is limited to conserve system resources may be extended (either temporarily or permanently) to address certain threat situations. In addition, logging may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which logging actions are changed (e.g., near real-time, within minutes, or within hours).

+ + + + + +

the capability for to change the logging to be performed on based on within is provided;

+ + + + +

the capability for to change the logging to be performed on based on within is implemented.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit record generation

+

system design documentation

+

system configuration settings and associated documentation

+

system-generated list of individuals or roles authorized to change auditing to be performed

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit record generation responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing audit record generation capability

+ + + + + Query Parameter Audits of Personally Identifiable Information + + + + + + + +

Provide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information.

+ + +

Query parameters are explicit criteria that an individual or automated system submits to a system to retrieve data. Auditing of query parameters for datasets that contain personally identifiable information augments the capability of an organization to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel.

+ + + + + +

the capability to audit the parameters of user query events for data sets containing personally identifiable information is provided;

+ + + + +

the capability to audit the parameters of user query events for data sets containing personally identifiable information is implemented.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing audit record generation

+

query event records

+

system design documentation

+

system configuration settings and associated documentation

+

map of system data actions

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with audit record generation responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing audit record generation capability

+ + + + + + Monitoring for Information Disclosure + + + + + +

open-source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information is/are defined;

+ + + + + + + +

the frequency with which open-source information and/or information sites are monitored for evidence of unauthorized disclosure of organizational information is defined;

+ + + + + + + +

personnel or roles to be notified if an information disclosure is discovered is/are defined;

+ + + + + + + +

additional actions to be taken if an information disclosure is discovered are defined;

+ + + + + + + + + + + + + + + + + +

Monitor for evidence of unauthorized disclosure of organizational information; and

+ + + +

If an information disclosure is discovered:

+ + +

Notify ; and

+ + + +

Take the following additional actions: .

+ + + + +

Unauthorized disclosure of information is a form of data leakage. Open-source information includes social networking sites and code-sharing platforms and repositories. Examples of organizational information include personally identifiable information retained by the organization or proprietary information generated by the organization.

+ + + + + +

is/are monitored for evidence of unauthorized disclosure of organizational information;

+ + + + + + +

are notified if an information disclosure is discovered;

+ + + + +

are taken if an information disclosure is discovered.

+ + + + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing information disclosure monitoring

+

system design documentation

+

system configuration settings and associated documentation

+

monitoring records

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for monitoring open-source information and/or information sites

+

organizational personnel with security and privacy responsibilities

+ + + + + + +

Mechanisms implementing monitoring for information disclosure

+ + + + Use of Automated Tools + + + + + +

automated mechanisms for monitoring open-source information and information sites are defined;

+ + + + + + + + + + + +

Monitor open-source information and information sites using .

+ + +

Automated mechanisms include commercial services that provide notifications and alerts to organizations and automated scripts to monitor new posts on websites.

+ + + +

open-source information and information sites are monitored using .

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing information disclosure monitoring

+

system design documentation

+

system configuration settings and associated documentation

+

automated monitoring tools

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for monitoring information disclosures

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms implementing monitoring for information disclosure

+ + + + + Review of Monitored Sites + + + + + +

the frequency at which to review the open-source information sites being monitored is defined;

+ + + + + + + + + + +

Review the list of open-source information sites being monitored .

+ + +

Reviewing the current list of open-source information sites being monitored on a regular basis helps to ensure that the selected sites remain relevant. The review also provides the opportunity to add new open-source information sites with the potential to provide evidence of unauthorized disclosure of organizational information. The list of sites monitored can be guided and informed by threat intelligence of other credible sources of information.

+ + + +

the list of open-source information sites being monitored is reviewed .

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing information disclosure monitoring

+

system design documentation

+

system configuration settings and associated documentation

+

reviews for open-source information sites being monitored

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for monitoring open-source information sites

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms implementing monitoring for information disclosure

+ + + + + Unauthorized Replication of Information + + + + + + + + + +

Employ discovery techniques, processes, and tools to determine if external entities are replicating organizational information in an unauthorized manner.

+ + +

The unauthorized use or replication of organizational information by external entities can cause adverse impacts on organizational operations and assets, including damage to reputation. Such activity can include the replication of an organizational website by an adversary or hostile threat actor who attempts to impersonate the web-hosting organization. Discovery tools, techniques, and processes used to determine if external entities are replicating organizational information in an unauthorized manner include scanning external websites, monitoring social media, and training staff to recognize the unauthorized use of organizational information.

+ + + +

discovery techniques, processes, and tools are employed to determine if external entities are replicating organizational information in an unauthorized manner.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing information disclosure monitoring

+

procedures addressing information replication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

training resources for staff to recognize the unauthorized use of organizational information

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for monitoring unauthorized replication of information

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Discovery tools for identifying unauthorized information replication

+ + + + + + Session Audit + + + + + +

users or roles who can audit the content of a user session are defined;

+ + + + + + + + + + + + +

circumstances under which the content of a user session can be audited are defined;

+ + + + + + + + + + + + + + + + + + + + + +

Provide and implement the capability for to the content of a user session under ; and

+ + + +

Develop, integrate, and use session auditing activities in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

+ + + +

Session audits can include monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session audit capability is implemented in addition to event logging and may involve implementation of specialized session capture technology. Organizations consider how session auditing can reveal information about individuals that may give rise to privacy risk as well as how to mitigate those risks. Because session auditing can impact system and network performance, organizations activate the capability under well-defined situations (e.g., the organization is suspicious of a specific individual). Organizations consult with legal counsel, civil liberties officials, and privacy officials to ensure that any legal, privacy, civil rights, or civil liberties issues, including the use of personally identifiable information, are appropriately addressed.

+ + + + + + + +

are provided with the capability to the content of a user session under ;

+ + + + +

the capability for to the content of a user session under is implemented;

+ + + + + + + + +

session auditing activities are developed in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;

+ + + + +

session auditing activities are integrated in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;

+ + + + +

session auditing activities are used in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing user session auditing

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+

legal counsel

+

personnel with civil liberties responsibilities

+ + + + + + +

Mechanisms implementing user session auditing capability

+ + + + System Start-up + + + + + + + + +

Initiate session audits automatically at system start-up.

+ + +

The automatic initiation of session audits at startup helps to ensure that the information being captured on selected individuals is complete and not subject to compromise through tampering by malicious threat actors.

+ + + +

session audits are initiated automatically at system start-up.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing user session auditing

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing user session auditing capability

+ + + + + Capture and Record Content + + + + + + + + + Remote Viewing and Listening + + + + + + + + + +

Provide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time.

+ + +

None.

+ + + + + +

the capability for authorized users to remotely view and hear content related to an established user session in real time is provided;

+ + + + +

the capability for authorized users to remotely view and hear content related to an established user session in real time is implemented.

+ + + + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing user session auditing

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+

legal counsel

+

personnel with civil liberties responsibilities

+ + + + + + +

Mechanisms implementing user session auditing capability

+ + + + + + Alternate Audit Logging Capability + + + + + + + + + Cross-organizational Audit Logging + + + + + +

methods for coordinating audit information among external organizations when audit information is transmitted across organizational boundaries are defined;

+ + + + + + + +

audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries is defined;

+ + + + + + + + + + + + + +

Employ for coordinating among external organizations when audit information is transmitted across organizational boundaries.

+ + +

When organizations use systems or services of external organizations, the audit logging capability necessitates a coordinated, cross-organization approach. For example, maintaining the identity of individuals who request specific services across organizational boundaries may often be difficult, and doing so may prove to have significant performance and privacy ramifications. Therefore, it is often the case that cross-organizational audit logging simply captures the identity of individuals who issue requests at the initial system, and subsequent systems record that the requests originated from authorized individuals. Organizations consider including processes for coordinating audit information requirements and protection of audit information in information exchange agreements.

+ + + +

for coordinating among external organizations when audit information is transmitted across organizational boundaries are employed.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing methods for coordinating audit information among external organizations

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for coordinating audit information among external organizations

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms implementing cross-organizational auditing

+ + + + Identity Preservation + + + + + + + + + + + +

Preserve the identity of individuals in cross-organizational audit trails.

+ + +

Identity preservation is applied when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.

+ + + +

the identity of individuals in cross-organizational audit trails is preserved.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing cross-organizational audit trails

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with cross-organizational audit responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms implementing cross-organizational auditing (if applicable)

+ + + + + Sharing of Audit Information + + + + + +

organizations with which cross-organizational audit information is to be shared are defined;

+ + + + + + + +

cross-organizational sharing agreements to be used when providing cross-organizational audit information to organizations are defined;

+ + + + + + + + + + + +

Provide cross-organizational audit information to based on .

+ + +

Due to the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only individuals’ home organizations have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.

+ + + +

cross-organizational audit information is provided to based on .

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing cross-organizational sharing of audit information

+

information sharing agreements

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for sharing cross-organizational audit information

+

organizational personnel with information security and privacy responsibilities

+ + + + + Disassociability + + + + + +

measures to disassociate individuals from audit information transmitted across organizational boundaries are defined;

+ + + + + + + + + +

Implement to disassociate individuals from audit information transmitted across organizational boundaries.

+ + +

Preserving identities in audit trails could have privacy ramifications, such as enabling the tracking and profiling of individuals, but may not be operationally necessary. These risks could be further amplified when transmitting information across organizational boundaries. Implementing privacy-enhancing cryptographic techniques can disassociate individuals from audit information and reduce privacy risk while maintaining accountability.

+ + + +

are implemented to disassociate individuals from audit information transmitted across organizational boundaries.

+ + + + + + +

Audit and accountability policy

+

system security plan

+

privacy plan

+

procedures addressing cross-organizational sharing of audit information

+

policy and/or procedures regarding the deidentification of PII

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for sharing cross-organizational audit information

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms implementing disassociability

+ + + + + + + Assessment, Authorization, and Monitoring + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the assessment, authorization, and monitoring policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the assessment, authorization, and monitoring procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the assessment, authorization, and monitoring policy and procedures is defined;

+ + + + + + + +

the frequency at which the current assessment, authorization, and monitoring policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current assessment, authorization, and monitoring policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current assessment, authorization, and monitoring procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require assessment, authorization, and monitoring procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

assessment, authorization, and monitoring policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and

+ + + +

Review and update the current assessment, authorization, and monitoring:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Assessment, authorization, and monitoring policy and procedures address the controls in the CA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of assessment, authorization, and monitoring policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to assessment, authorization, and monitoring policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

an assessment, authorization, and monitoring policy is developed and documented;

+ + + + +

the assessment, authorization, and monitoring policy is disseminated to ;

+ + + + +

assessment, authorization, and monitoring procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and associated assessment, authorization, and monitoring controls are developed and documented;

+ + + + +

the assessment, authorization, and monitoring procedures are disseminated to ;

+ + + + + + + + +

the assessment, authorization, and monitoring policy addresses purpose;

+ + + + +

the assessment, authorization, and monitoring policy addresses scope;

+ + + + +

the assessment, authorization, and monitoring policy addresses roles;

+ + + + +

the assessment, authorization, and monitoring policy addresses responsibilities;

+ + + + +

the assessment, authorization, and monitoring policy addresses management commitment;

+ + + + +

the assessment, authorization, and monitoring policy addresses coordination among organizational entities;

+ + + + +

the assessment, authorization, and monitoring policy addresses compliance;

+ + + + + + +

the assessment, authorization, and monitoring policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures;

+ + + + + + + + +

the current assessment, authorization, and monitoring policy is reviewed and updated ;

+ + + + +

the current assessment, authorization, and monitoring policy is reviewed and updated following ;

+ + + + + + + + +

the current assessment, authorization, and monitoring procedures are reviewed and updated ;

+ + + + +

the current assessment, authorization, and monitoring procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Assessment, authorization, and monitoring policy and procedures

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with assessment, authorization, and monitoring policy responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Control Assessments + + + + + + +

the frequency at which to assess controls in the system and its environment of operation is defined;

+ + + + + + + +

individuals or roles to whom control assessment results are to be provided are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Select the appropriate assessor or assessment team for the type of assessment to be conducted;

+ + + +

Develop a control assessment plan that describes the scope of the assessment including:

+ + +

Controls and control enhancements under assessment;

+ + + +

Assessment procedures to be used to determine control effectiveness; and

+ + + +

Assessment environment, assessment team, and assessment roles and responsibilities;

+ + + + +

Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;

+ + + +

Assess the controls in the system and its environment of operation to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;

+ + + +

Produce a control assessment report that document the results of the assessment; and

+ + + +

Provide the results of the control assessment to .

+ + + +

Organizations ensure that control assessors possess the required skills and technical expertise to develop effective assessment plans and to conduct assessments of system-specific, hybrid, common, and program management controls, as appropriate. The required skills include general knowledge of risk management concepts and approaches as well as comprehensive knowledge of and experience with the hardware, software, and firmware system components implemented.

+

Organizations assess controls in systems and the environments in which those systems operate as part of initial and ongoing authorizations, continuous monitoring, FISMA annual assessments, system design and development, systems security engineering, privacy engineering, and the system development life cycle. Assessments help to ensure that organizations meet information security and privacy requirements, identify weaknesses and deficiencies in the system design and development process, provide essential information needed to make risk-based decisions as part of authorization processes, and comply with vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls as documented in security and privacy plans. Assessments can also be conducted throughout the system development life cycle as part of systems engineering and systems security engineering processes. The design for controls can be assessed as RFPs are developed, responses assessed, and design reviews conducted. If a design to implement controls and subsequent implementation in accordance with the design are assessed during development, the final control testing can be a simple confirmation utilizing previously completed control assessment and aggregating the outcomes.

+

Organizations may develop a single, consolidated security and privacy assessment plan for the system or maintain separate plans. A consolidated assessment plan clearly delineates the roles and responsibilities for control assessment. If multiple organizations participate in assessing a system, a coordinated approach can reduce redundancies and associated costs.

+

Organizations can use other types of assessment activities, such as vulnerability scanning and system monitoring, to maintain the security and privacy posture of systems during the system life cycle. Assessment reports document assessment results in sufficient detail, as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, senior agency information security officers, and authorizing official designated representatives.

+

To satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations, continuous monitoring, systems engineering processes, or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits, including audits by external entities such as regulatory agencies, are outside of the scope of CA-2.

+ + + + + +

an appropriate assessor or assessment team is selected for the type of assessment to be conducted;

+ + + + + + +

a control assessment plan is developed that describes the scope of the assessment, including controls and control enhancements under assessment;

+ + + + +

a control assessment plan is developed that describes the scope of the assessment, including assessment procedures to be used to determine control effectiveness;

+ + + + + + +

a control assessment plan is developed that describes the scope of the assessment, including the assessment environment;

+ + + + +

a control assessment plan is developed that describes the scope of the assessment, including the assessment team;

+ + + + +

a control assessment plan is developed that describes the scope of the assessment, including assessment roles and responsibilities;

+ + + + + + + + +

the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;

+ + + + + + +

controls are assessed in the system and its environment of operation to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;

+ + + + +

controls are assessed in the system and its environment of operation to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established privacy requirements;

+ + + + + + +

a control assessment report is produced that documents the results of the assessment;

+ + + + +

the results of the control assessment are provided to .

+ + + + + + + + +

Assessment, authorization, and monitoring policy

+

procedures addressing assessment planning

+

procedures addressing control assessments

+

control assessment plan

+

control assessment report

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with control assessment responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting

+ + + + Independent Assessors + + + + + + + + +

Employ independent assessors or assessment teams to conduct control assessments.

+ + +

Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of systems. Impartiality means that assessors are free from any perceived or actual conflicts of interest regarding the development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness. To achieve impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in positions of advocacy for the organizations acquiring their services.

+

Independent assessments can be obtained from elements within organizations or be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of systems and/or the risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. Assessor independence determination includes whether contracted assessment services have sufficient independence, such as when system owners are not directly involved in contracting processes or cannot influence the impartiality of the assessors conducting the assessments. During the system design and development phase, having independent assessors is analogous to having independent SMEs involved in design reviews.

+

When organizations that own the systems are small or the structures of the organizations require that assessments be conducted by individuals that are in the developmental, operational, or management chain of the system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Assessments performed for purposes other than to support authorization decisions are more likely to be useable for such decisions when performed by assessors with sufficient independence, thereby reducing the need to repeat assessments.

+ + + +

independent assessors or assessment teams are employed to conduct control assessments.

+ + + + + + +

Assessment, authorization, and monitoring policy

+

procedures addressing control assessments

+

previous control assessment plan

+

previous control assessment report

+

plan of action and milestones

+

existing authorization statement

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security assessment responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Specialized Assessments + + + + + + +

frequency at which to include specialized assessments as part of the control assessment is defined;

+ + + + + + + + + + + + + + + + + +

other forms of assessment are defined (if selected);

+ + + + + + + + + + + + +

Include as part of control assessments, , , .

+ + +

Organizations can conduct specialized assessments, including verification and validation, system monitoring, insider threat assessments, malicious user testing, and other forms of testing. These assessments can improve readiness by exercising organizational capabilities and indicating current levels of performance as a means of focusing actions to improve security and privacy. Organizations conduct specialized assessments in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can include vulnerabilities uncovered during assessments into vulnerability remediation processes. Specialized assessments can also be conducted early in the system development life cycle (e.g., during initial design, development, and unit testing).

+ + + +

are included as part of control assessments.

+ + + + + + +

Assessment, authorization, and monitoring policy

+

procedures addressing control assessments

+

control assessment plan

+

control assessment report

+

control assessment evidence

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with control assessment responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms supporting control assessment

+ + + + + Leveraging Results from External Organizations + + + + + + +

external organization(s) from which the results of control assessments are leveraged are defined;

+ + + + + + + +

system on which a control assessment was performed by an external organization is defined;

+ + + + + + + +

requirements to be met by the control assessment performed by an external organization on the system are defined;

+ + + + + + + + + + + +

Leverage the results of control assessments performed by on when the assessment meets .

+ + +

Organizations may rely on control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can decrease the time and resources required for assessments by limiting the independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include the organization’s past experience with the organization that conducted the assessment, the reputation of the assessment organization, the level of detail of supporting assessment evidence provided, and mandates imposed by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Accredited testing laboratories that support the Common Criteria Program ISO 15408-1 , the NIST Cryptographic Module Validation Program (CMVP), or the NIST Cryptographic Algorithm Validation Program (CAVP) can provide independent assessment results that organizations can leverage.

+ + + +

the results of control assessments performed by on are leveraged when the assessment meets .

+ + + + + + +

Assessment, authorization, and monitoring policy

+

procedures addressing control assessments

+

control assessment requirements

+

control assessment plan

+

control assessment report

+

control assessment evidence

+

plan of action and milestones

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with control assessment responsibilities

+

organizational personnel with information security and privacy responsibilities

+

personnel performing control assessments for the specified external organization

+ + + + + + Information Exchange + + + + + + + + + + +

the type of agreement used to approve and manage the exchange of information is defined (if selected);

+ + + + + + + +

the frequency at which to review and update agreements is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + +

Approve and manage the exchange of information between the system and other systems using ;

+ + + +

Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and

+ + + +

Review and update the agreements .

+ + + +

System information exchange requirements apply to information exchanges between two or more systems. System information exchanges include connections via leased lines or virtual private networks, connections to internet service providers, database sharing or exchanges of database transaction information, connections and exchanges with cloud services, exchanges via web-based services, or exchanges of files via file transfer protocols, network protocols (e.g., IPv4, IPv6), email, or other organization-to-organization communications. Organizations consider the risk related to new or increased threats that may be introduced when systems exchange information with other systems that may have different security and privacy requirements and controls. This includes systems within the same organization and systems that are external to the organization. A joint authorization of the systems exchanging information, as described in CA-6(1) or CA-6(2) , may help to communicate and reduce risk.

+

Authorizing officials determine the risk associated with system information exchange and the controls needed for appropriate risk mitigation. The types of agreements selected are based on factors such as the impact level of the information being exchanged, the relationship between the organizations exchanging information (e.g., government to government, government to business, business to business, government or business to service provider, government or business to individual), or the level of access to the organizational system by users of the other system. If systems that exchange information have the same authorizing official, organizations need not develop agreements. Instead, the interface characteristics between the systems (e.g., how the information is being exchanged. how the information is protected) are described in the respective security and privacy plans. If the systems that exchange information have different authorizing officials within the same organization, the organizations can develop agreements or provide the same information that would be provided in the appropriate agreement type from CA-3a in the respective security and privacy plans for the systems. Organizations may incorporate agreement information into formal contracts, especially for information exchanges established between federal agencies and nonfederal organizations (including service providers, contractors, system developers, and system integrators). Risk considerations include systems that share the same networks.

+ + + + + +

the exchange of information between the system and other systems is approved and managed using ;

+ + + + + + +

the interface characteristics are documented as part of each exchange agreement;

+ + + + +

security requirements are documented as part of each exchange agreement;

+ + + + +

privacy requirements are documented as part of each exchange agreement;

+ + + + +

controls are documented as part of each exchange agreement;

+ + + + +

responsibilities for each system are documented as part of each exchange agreement;

+ + + + +

the impact level of the information communicated is documented as part of each exchange agreement;

+ + + + + + +

agreements are reviewed and updated .

+ + + + + + + + +

Access control policy

+

procedures addressing system connections

+

system and communications protection policy

+

system interconnection security agreements

+

information exchange security agreements

+

memoranda of understanding or agreements

+

service level agreements

+

non-disclosure agreements

+

system design documentation

+

enterprise architecture

+

system architecture

+

system configuration settings and associated documentation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements

+

organizational personnel with information security and privacy responsibilities

+

personnel managing the system(s) to which the interconnection security agreement applies

+ + + + Unclassified National Security System Connections + + + + + + + + + Classified National Security System Connections + + + + + + + + + Unclassified Non-national Security System Connections + + + + + + + + + Connections to Public Networks + + + + + + + + + Restrictions on External System Connections + + + + + + + + + Transfer Authorizations + + + + + + + + + + + + +

Verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data.

+ + +

To prevent unauthorized individuals and systems from making information transfers to protected systems, the protected system verifies—via independent means— whether the individual or system attempting to transfer information is authorized to do so. Verification of the authorization to transfer information also applies to control plane traffic (e.g., routing and DNS) and services (e.g., authenticated SMTP relays).

+ + + +

individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data.

+ + + + + + +

Access control policy

+

procedures addressing system connections

+

system and communications protection policy

+

system interconnection agreements

+

information exchange security agreements

+

memoranda of understanding or agreements

+

service level agreements

+

non-disclosure agreements

+

system design documentation

+

system configuration settings and associated documentation

+

control assessment report

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for managing connections to external systems

+

network administrators

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms implementing restrictions on external system connections

+ + + + + Transitive Information Exchanges + + + + + + + + + + + + +

Identify transitive (downstream) information exchanges with other systems through the systems identified in CA-3a ; and

+ + + +

Take measures to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated.

+ + + +

Transitive or downstream information exchanges are information exchanges between the system or systems with which the organizational system exchanges information and other systems. For mission-essential systems, services, and applications, including high value assets, it is necessary to identify such information exchanges. The transparency of the controls or protection measures in place in such downstream systems connected directly or indirectly to organizational systems is essential to understanding the security and privacy risks resulting from those information exchanges. Organizational systems can inherit risk from downstream systems through transitive connections and information exchanges, which can make the organizational systems more susceptible to threats, hazards, and adverse impacts.

+ + + + + +

transitive (downstream) information exchanges with other systems through the systems identified in CA-03a are identified;

+ + + + +

measures are taken to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated.

+ + + + + + + + +

Access control policy

+

procedures addressing system connections

+

system and communications protection policy

+

system interconnection agreements

+

information exchange security agreements

+

memoranda of understanding or agreements

+

service level agreements

+

non-disclosure agreements

+

system design documentation

+

system configuration settings and associated documentation

+

control assessment report

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for managing connections to external systems

+

network administrators

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms implementing restrictions on external system connections

+ + + + + + Security Certification + + + + + + + + + Plan of Action and Milestones + + + + + +

the frequency at which to update an existing plan of action and milestones based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities is defined;

+ + + + + + + + + + + + + + + + + + + + +

Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and

+ + + +

Update existing plan of action and milestones based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities.

+ + + +

Plans of action and milestones are useful for any type of organization to track planned remedial actions. Plans of action and milestones are required in authorization packages and subject to federal reporting requirements established by OMB.

+ + + + + +

a plan of action and milestones for the system is developed to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system;

+ + + + +

existing plan of action and milestones are updated based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities.

+ + + + + + + + +

Assessment, authorization, and monitoring policy

+

procedures addressing plan of action and milestones

+

control assessment plan

+

control assessment report

+

control assessment evidence

+

plan of action and milestones

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with plan of action and milestones development and implementation responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms for developing, implementing, and maintaining plan of action and milestones

+ + + + Automation Support for Accuracy and Currency + + + + + +

automated mechanisms used to ensure the accuracy, currency, and availability of the plan of action and milestones for the system are defined;

+ + + + + + + + + + +

Ensure the accuracy, currency, and availability of the plan of action and milestones for the system using .

+ + +

Using automated tools helps maintain the accuracy, currency, and availability of the plan of action and milestones and facilitates the coordination and sharing of security and privacy information throughout the organization. Such coordination and information sharing help to identify systemic weaknesses or deficiencies in organizational systems and ensure that appropriate resources are directed at the most critical system vulnerabilities in a timely manner.

+ + + +

are used to ensure the accuracy, currency, and availability of the plan of action and milestones for the system.

+ + + + + + +

Assessment, authorization, and monitoring policy

+

procedures addressing plan of action and milestones

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

plan of action and milestones

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with plan of action and milestones development and implementation responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms for developing, implementing, and maintaining a plan of action and milestones

+ + + + + + Authorization + + + + + +

frequency at which to update the authorizations is defined;

+ + + + + + + + + + + + + + + + + + + + + + +

Assign a senior official as the authorizing official for the system;

+ + + +

Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems;

+ + + +

Ensure that the authorizing official for the system, before commencing operations:

+ + +

Accepts the use of common controls inherited by the system; and

+ + + +

Authorizes the system to operate;

+ + + + +

Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;

+ + + +

Update the authorizations .

+ + + +

Authorizations are official management decisions by senior officials to authorize operation of systems, authorize the use of common controls for inheritance by organizational systems, and explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon controls. Authorizing officials provide budgetary oversight for organizational systems and common controls or assume responsibility for the mission and business functions supported by those systems or common controls. The authorization process is a federal responsibility, and therefore, authorizing officials must be federal employees. Authorizing officials are both responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize systems and senior officials that assume the authorization role and associated responsibilities.

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Authorizing officials issue ongoing authorizations of systems based on evidence produced from implemented continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, the information contained in authorization packages (i.e., security and privacy plans, assessment reports, and plans of action and milestones) is updated on an ongoing basis. This provides authorizing officials, common control providers, and system owners with an up-to-date status of the security and privacy posture of their systems, controls, and operating environments. To reduce the cost of reauthorization, authorizing officials can leverage the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.

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a senior official is assigned as the authorizing official for the system;

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a senior official is assigned as the authorizing official for common controls available for inheritance by organizational systems;

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before commencing operations, the authorizing official for the system accepts the use of common controls inherited by the system;

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before commencing operations, the authorizing official for the system authorizes the system to operate;

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the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;

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the authorizations are updated .

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Assessment, authorization, and monitoring policy

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procedures addressing authorization

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system security plan, privacy plan, assessment report, plan of action and milestones

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authorization statement

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other relevant documents or records

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Organizational personnel with authorization responsibilities

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organizational personnel with information security and privacy responsibilities

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Mechanisms that facilitate authorizations and updates

+ + + + Joint Authorization — Intra-organization + + + + + + + + + +

Employ a joint authorization process for the system that includes multiple authorizing officials from the same organization conducting the authorization.

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Assigning multiple authorizing officials from the same organization to serve as co-authorizing officials for the system increases the level of independence in the risk-based decision-making process. It also implements the concepts of separation of duties and dual authorization as applied to the system authorization process. The intra-organization joint authorization process is most relevant for connected systems, shared systems, and systems with multiple information owners.

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a joint authorization process is employed for the system;

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the joint authorization process employed for the system includes multiple authorizing officials from the same organization conducting the authorization.

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Assessment, authorization, and monitoring policy

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procedures addressing authorization

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system security plan

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privacy plan

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assessment report

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plan of action and milestones

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authorization statement

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other relevant documents or records

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Organizational personnel with authorization responsibilities

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organizational personnel with information security and privacy responsibilities

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Mechanisms that facilitate authorizations and updates

+ + + + + Joint Authorization — Inter-organization + + + + + + + + + +

Employ a joint authorization process for the system that includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization.

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Assigning multiple authorizing officials, at least one of whom comes from an external organization, to serve as co-authorizing officials for the system increases the level of independence in the risk-based decision-making process. It implements the concepts of separation of duties and dual authorization as applied to the system authorization process. Employing authorizing officials from external organizations to supplement the authorizing official from the organization that owns or hosts the system may be necessary when the external organizations have a vested interest or equities in the outcome of the authorization decision. The inter-organization joint authorization process is relevant and appropriate for connected systems, shared systems or services, and systems with multiple information owners. The authorizing officials from the external organizations are key stakeholders of the system undergoing authorization.

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a joint authorization process is employed for the system;

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the joint authorization process employed for the system includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization.

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Assessment, authorization, and monitoring policy

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procedures addressing authorization

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system security plan

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privacy plan

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assessment report

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plan of action and milestones

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authorization statement

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other relevant documents or records

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Organizational personnel with authorization responsibilities

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organizational personnel with information security and privacy responsibilities

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Mechanisms that facilitate authorizations and updates

+ + + + + + Continuous Monitoring + + + + + + + + + + + + + + + +

system-level metrics to be monitored are defined;

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frequencies at which to monitor control effectiveness are defined;

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frequencies at which to assess control effectiveness are defined;

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personnel or roles to whom the security status of the system is reported are defined;

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frequency at which the security status of the system is reported is defined;

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personnel or roles to whom the privacy status of the system is reported are defined;

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frequency at which the privacy status of the system is reported is defined;

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Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:

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Establishing the following system-level metrics to be monitored: ;

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Establishing for monitoring and for assessment of control effectiveness;

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Ongoing control assessments in accordance with the continuous monitoring strategy;

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Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;

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Correlation and analysis of information generated by control assessments and monitoring;

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Response actions to address results of the analysis of control assessment and monitoring information; and

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Reporting the security and privacy status of the system to .

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Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions.

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Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, such as AC-2g, AC-2(7), AC-2(12)(a), AC-2(7)(b), AC-2(7)(c), AC-17(1), AT-4a, AU-13, AU-13(1), AU-13(2), CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, PE-14b, PE-16, PE-20, PM-6, PM-23, PM-31, PS-7e, SA-9c, SR-4, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18b, SC-43b , and SI-4.

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a system-level continuous monitoring strategy is developed;

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system-level continuous monitoring is implemented in accordance with the organization-level continuous monitoring strategy;

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system-level continuous monitoring includes establishment of the following system-level metrics to be monitored: ;

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system-level continuous monitoring includes established for monitoring;

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system-level continuous monitoring includes established for assessment of control effectiveness;

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system-level continuous monitoring includes ongoing control assessments in accordance with the continuous monitoring strategy;

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system-level continuous monitoring includes ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;

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system-level continuous monitoring includes correlation and analysis of information generated by control assessments and monitoring;

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system-level continuous monitoring includes response actions to address the results of the analysis of control assessment and monitoring information;

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system-level continuous monitoring includes reporting the security status of the system to ;

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system-level continuous monitoring includes reporting the privacy status of the system to .

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Assessment, authorization, and monitoring policy

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organizational continuous monitoring strategy

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system-level continuous monitoring strategy

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procedures addressing continuous monitoring of system controls

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procedures addressing configuration management

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control assessment report

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plan of action and milestones

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system monitoring records

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configuration management records

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impact analyses

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status reports

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with continuous monitoring responsibilities

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organizational personnel with information security and privacy responsibilities

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system/network administrators

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Mechanisms implementing continuous monitoring

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mechanisms supporting response actions to address assessment and monitoring results

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mechanisms supporting security and privacy status reporting

+ + + + Independent Assessment + + + + + + + + +

Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis.

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Organizations maximize the value of control assessments by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of required independence is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in advocacy positions for the organizations acquiring their services.

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independent assessors or assessment teams are employed to monitor the controls in the system on an ongoing basis.

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Assessment, authorization, and monitoring policy

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organizational continuous monitoring strategy

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system-level continuous monitoring strategy

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procedures addressing continuous monitoring of system controls

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control assessment report

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plan of action and milestones

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system monitoring records

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impact analyses

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status reports

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with continuous monitoring responsibilities

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organizational personnel with information security and privacy responsibilities

+ + + + + Types of Assessments + + + + + + + + + Trend Analyses + + + + + + + + +

Employ trend analyses to determine if control implementations, the frequency of continuous monitoring activities, and the types of activities used in the continuous monitoring process need to be modified based on empirical data.

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Trend analyses include examining recent threat information that addresses the types of threat events that have occurred in the organization or the Federal Government, success rates of certain types of attacks, emerging vulnerabilities in technologies, evolving social engineering techniques, the effectiveness of configuration settings, results from multiple control assessments, and findings from Inspectors General or auditors.

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trend analysis is employed to determine if control implementations used in the continuous monitoring process need to be modified based on empirical data;

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trend analysis is employed to determine if the frequency of continuous monitoring activities used in the continuous monitoring process needs to be modified based on empirical data;

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trend analysis is employed to determine if the types of activities used in the continuous monitoring process need to be modified based on empirical data.

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Organizational continuous monitoring strategy

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system-level continuous monitoring strategy

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assessment, authorization, and monitoring policy

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procedures addressing continuous monitoring of system controls

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privacy controls

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assessment report

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plan of action and milestones

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system monitoring records

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impact analyses

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status reports

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with continuous monitoring responsibilities

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organizational personnel with information security and privacy responsibilities

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Mechanisms supporting trend analyses

+ + + + + Risk Monitoring + + + + + + + + + +

Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:

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Effectiveness monitoring;

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Compliance monitoring; and

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Change monitoring.

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Risk monitoring is informed by the established organizational risk tolerance. Effectiveness monitoring determines the ongoing effectiveness of the implemented risk response measures. Compliance monitoring verifies that required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk.

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risk monitoring is an integral part of the continuous monitoring strategy;

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effectiveness monitoring is included in risk monitoring;

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compliance monitoring is included in risk monitoring;

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change monitoring is included in risk monitoring.

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Assessment, authorization, and monitoring policy

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organizational continuous monitoring strategy

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system-level continuous monitoring strategy

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procedures addressing continuous monitoring of system controls

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assessment report

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plan of action and milestones

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system monitoring records

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impact analyses

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status reports

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with continuous monitoring responsibilities

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organizational personnel with information security and privacy responsibilities

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Mechanisms supporting risk monitoring

+ + + + + Consistency Analysis + + + + + + + + + +

actions to validate that policies are established are defined;

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actions to validate that implemented controls are operating in a consistent manner are defined;

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Employ the following actions to validate that policies are established and implemented controls are operating in a consistent manner: .

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Security and privacy controls are often added incrementally to a system. As a result, policies for selecting and implementing controls may be inconsistent, and the controls could fail to work together in a consistent or coordinated manner. At a minimum, the lack of consistency and coordination could mean that there are unacceptable security and privacy gaps in the system. At worst, it could mean that some of the controls implemented in one location or by one component are actually impeding the functionality of other controls (e.g., encrypting internal network traffic can impede monitoring). In other situations, failing to consistently monitor all implemented network protocols (e.g., a dual stack of IPv4 and IPv6) may create unintended vulnerabilities in the system that could be exploited by adversaries. It is important to validate—through testing, monitoring, and analysis—that the implemented controls are operating in a consistent, coordinated, non-interfering manner.

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are employed to validate that policies are established;

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are employed to validate that implemented controls are operating in a consistent manner.

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Assessment, authorization, and monitoring policy

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organizational continuous monitoring strategy

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system-level continuous monitoring strategy

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procedures addressing continuous monitoring of system security controls

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assessment report

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plan of action and milestones

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system monitoring records

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security impact analyses

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status reports

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system security plan

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other relevant documents or records

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Organizational personnel with continuous monitoring responsibilities

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organizational personnel with information security and privacy responsibilities

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Mechanisms supporting consistency analyses

+ + + + + Automation Support for Monitoring + + + + + +

automated mechanisms used to ensure the accuracy, currency, and availability of monitoring results for the system are defined;

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Ensure the accuracy, currency, and availability of monitoring results for the system using .

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Using automated tools for monitoring helps to maintain the accuracy, currency, and availability of monitoring information which in turns helps to increase the level of ongoing awareness of the system security and privacy posture in support of organizational risk management decisions.

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are used to ensure the accuracy, currency, and availability of monitoring results for the system.

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Assessment, authorization, and monitoring policy

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organizational continuous monitoring strategy

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system-level continuous monitoring strategy

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procedures addressing continuous monitoring of system controls

+

assessment report

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plan of action and milestones

+

system monitoring records

+

impact analyses

+

status reports

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system security plan

+

privacy plan

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other relevant documents or records

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Organizational personnel with continuous monitoring responsibilities

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organizational personnel with information security and privacy responsibilities

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Mechanisms supporting automated monitoring

+ + + + + + Penetration Testing + + + + + +

frequency at which to conduct penetration testing on systems or system components is defined;

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systems or system components on which penetration testing is to be conducted are defined;

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Conduct penetration testing on .

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Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is conducted by agents and teams with demonstrable skills and experience that include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Penetration testing is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols).

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Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted internally or externally on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes a pretest analysis based on full knowledge of the system, pretest identification of potential vulnerabilities based on the pretest analysis, and testing designed to determine the exploitability of vulnerabilities. All parties agree to the rules of engagement before commencing penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries. Penetration testing may result in the exposure of information that is protected by laws or regulations, to individuals conducting the testing. Rules of engagement, contracts, or other appropriate mechanisms can be used to communicate expectations for how to protect this information. Risk assessments guide the decisions on the level of independence required for the personnel conducting penetration testing.

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penetration testing is conducted on .

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Assessment, authorization, and monitoring policy

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procedures addressing penetration testing

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assessment plan

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penetration test report

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assessment report

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assessment evidence

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with control assessment responsibilities

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organizational personnel with information security and privacy responsibilities

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system/network administrators

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Mechanisms supporting penetration testing

+ + + + Independent Penetration Testing Agent or Team + + + + + + + + + +

Employ an independent penetration testing agent or team to perform penetration testing on the system or system components.

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Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. CA-2(1) provides additional information on independent assessments that can be applied to penetration testing.

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an independent penetration testing agent or team is employed to perform penetration testing on the system or system components.

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Assessment, authorization, and monitoring policy

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procedures addressing penetration testing

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assessment plan

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penetration test report

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assessment report

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security assessment evidence

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with assessment responsibilities

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organizational personnel with information security and privacy responsibilities

+ + + + + Red Team Exercises + + + + + +

red team exercises to simulate attempts by adversaries to compromise organizational systems are defined;

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Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: .

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Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise mission and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness.

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are employed to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement.

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Assessment, authorization, and monitoring policy

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procedures addressing penetration testing

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procedures addressing red team exercises

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assessment plan

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results of red team exercises

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penetration test report

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assessment report

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rules of engagement

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assessment evidence

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with assessment responsibilities

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organizational personnel with information security and privacy responsibilities

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system/network administrators

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Mechanisms supporting the employment of red team exercises

+ + + + + Facility Penetration Testing + + + + + +

frequency at which to employ penetration testing that attempts to bypass or circumvent controls associated with physical access points to the facility is defined;

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Employ a penetration testing process that includes attempts to bypass or circumvent controls associated with physical access points to the facility.

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Penetration testing of physical access points can provide information on critical vulnerabilities in the operating environments of organizational systems. Such information can be used to correct weaknesses or deficiencies in physical controls that are necessary to protect organizational systems.

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the penetration testing process includes attempts to bypass or circumvent controls associated with physical access points to facility.

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Assessment, authorization, and monitoring policy

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procedures addressing penetration testing

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procedures addressing red team exercises

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assessment plan

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results of red team exercises

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penetration test report

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assessment report

+

rules of engagement

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assessment evidence

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with assessment responsibilities

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organizational personnel with information security and privacy responsibilities

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system/network administrators

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Automated mechanisms supporting the employment of red team exercises

+ + + + + + Internal System Connections + + + + + + +

system components or classes of components requiring internal connections to the system are defined;

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conditions requiring termination of internal connections are defined;

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frequency at which to review the continued need for each internal connection is defined;

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Authorize internal connections of to the system;

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Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated;

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Terminate internal system connections after ; and

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Review the continued need for each internal connection.

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Internal system connections are connections between organizational systems and separate constituent system components (i.e., connections between components that are part of the same system) including components used for system development. Intra-system connections include connections with mobile devices, notebook and desktop computers, tablets, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each internal system connection individually, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations, including printers, scanners, and copiers with a specified processing, transmission, and storage capability or smart phones and tablets with a specific baseline configuration. The continued need for an internal system connection is reviewed from the perspective of whether it provides support for organizational missions or business functions.

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internal connections of to the system are authorized;

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for each internal connection, the interface characteristics are documented;

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for each internal connection, the security requirements are documented;

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for each internal connection, the privacy requirements are documented;

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for each internal connection, the nature of the information communicated is documented;

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internal system connections are terminated after ;

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the continued need for each internal connection is reviewed .

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Assessment, authorization, and monitoring policy

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access control policy

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procedures addressing system connections

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system and communications protection policy

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system design documentation

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system configuration settings and associated documentation

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list of components or classes of components authorized as internal system connections

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assessment report

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system audit records

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system security plan

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privacy plan

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other relevant documents or records

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Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections

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organizational personnel with information security and privacy responsibilities

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Mechanisms supporting internal system connections

+ + + + Compliance Checks + + + + + + + + + + +

Perform security and privacy compliance checks on constituent system components prior to the establishment of the internal connection.

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Compliance checks include verification of the relevant baseline configuration.

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security compliance checks are performed on constituent system components prior to the establishment of the internal connection;

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privacy compliance checks are performed on constituent system components prior to the establishment of the internal connection.

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Assessment, authorization, and monitoring policy

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access control policy

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procedures addressing system connections

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system and communications protection policy

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system design documentation

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system configuration settings and associated documentation

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list of components or classes of components authorized as internal system connections

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assessment report

+

system audit records

+

system security plan

+

privacy plan

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other relevant documents or records

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Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections

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organizational personnel with information security and privacy responsibilities

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Mechanisms supporting compliance checks

+ + + + + + + Configuration Management + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the configuration management policy is to be disseminated is/are defined;

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personnel or roles to whom the configuration management procedures are to be disseminated is/are defined;

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an official to manage the configuration management policy and procedures is defined;

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the frequency at which the current configuration management policy is reviewed and updated is defined;

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events that would require the current configuration management policy to be reviewed and updated are defined;

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the frequency at which the current configuration management procedures are reviewed and updated is defined;

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events that would require configuration management procedures to be reviewed and updated are defined;

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Develop, document, and disseminate to :

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configuration management policy that:

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Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

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Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

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Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;

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Designate an to manage the development, documentation, and dissemination of the configuration management policy and procedures; and

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Review and update the current configuration management:

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Policy and following ; and

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Procedures and following .

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Configuration management policy and procedures address the controls in the CM family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of configuration management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to configuration management policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

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a configuration management policy is developed and documented;

+ + + + +

the configuration management policy is disseminated to ;

+ + + + +

configuration management procedures to facilitate the implementation of the configuration management policy and associated configuration management controls are developed and documented;

+ + + + +

the configuration management procedures are disseminated to ;

+ + + + + + + + +

the of the configuration management policy addresses purpose;

+ + + + +

the of the configuration management policy addresses scope;

+ + + + +

the of the configuration management policy addresses roles;

+ + + + +

the of the configuration management policy addresses responsibilities;

+ + + + +

the of the configuration management policy addresses management commitment;

+ + + + +

the of the configuration management policy addresses coordination among organizational entities;

+ + + + +

the of the configuration management policy addresses compliance;

+ + + + + + +

the configuration management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the configuration management policy and procedures;

+ + + + + + + + +

the current configuration management policy is reviewed and updated ;

+ + + + +

the current configuration management policy is reviewed and updated following ;

+ + + + + + + + +

the current configuration management procedures are reviewed and updated ;

+ + + + +

the current configuration management procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Configuration management policy and procedures

+

security and privacy program policies and procedures

+

assessment or audit findings

+

documentation of security incidents or breaches

+

system security plan

+

privacy plan

+

risk management strategy

+

other relevant artifacts, documents, or records

+ + + + + + +

Organizational personnel with configuration management responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Baseline Configuration + + + + + +

the frequency of baseline configuration review and update is defined;

+ + + + + + + +

the circumstances requiring baseline configuration review and update are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Develop, document, and maintain under configuration control, a current baseline configuration of the system; and

+ + + +

Review and update the baseline configuration of the system:

+ + +

;

+ + + +

When required due to ; and

+ + + +

When system components are installed or upgraded.

+ + + + +

Baseline configurations for systems and system components include connectivity, operational, and communications aspects of systems. Baseline configurations are documented, formally reviewed, and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, or changes to systems and include security and privacy control implementations, operational procedures, information about system components, network topology, and logical placement of components in the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture.

+ + + + + + + +

a current baseline configuration of the system is developed and documented;

+ + + + +

a current baseline configuration of the system is maintained under configuration control;

+ + + + + + + + +

the baseline configuration of the system is reviewed and updated ;

+ + + + +

the baseline configuration of the system is reviewed and updated when required due to ;

+ + + + +

the baseline configuration of the system is reviewed and updated when system components are installed or upgraded.

+ + + + + + + + + + +

Configuration management policy

+

procedures addressing the baseline configuration of the system

+

configuration management plan

+

enterprise architecture documentation

+

system design documentation

+

system security plan

+

privacy plan

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

system component inventory

+

change control records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration management responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing baseline configurations

+

mechanisms supporting configuration control of the baseline configuration

+ + + + Reviews and Updates + + + + + + + + + Automation Support for Accuracy and Currency + + + + + +

automated mechanisms for maintaining baseline configuration of the system are defined;

+ + + + + + + + + + + + + +

Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using .

+ + +

Automated mechanisms that help organizations maintain consistent baseline configurations for systems include configuration management tools, hardware, software, firmware inventory tools, and network management tools. Automated tools can be used at the organization level, mission and business process level, or system level on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels. Automation support for accuracy and currency can be satisfied by the implementation of CM-8(2) for organizations that combine system component inventory and baseline configuration activities.

+ + + + + +

the currency of the baseline configuration of the system is maintained using ;

+ + + + +

the completeness of the baseline configuration of the system is maintained using ;

+ + + + +

the accuracy of the baseline configuration of the system is maintained using ;

+ + + + +

the availability of the baseline configuration of the system is maintained using .

+ + + + + + + + +

Configuration management policy

+

procedures addressing the baseline configuration of the system

+

configuration management plan

+

system design documentation

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

system component inventory

+

configuration change control records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing baseline configurations

+

automated mechanisms implementing baseline configuration maintenance

+ + + + + Retention of Previous Configurations + + + + + +

the number of previous baseline configuration versions to be retained is defined;

+ + + + + + + + + + +

Retain of previous versions of baseline configurations of the system to support rollback.

+ + +

Retaining previous versions of baseline configurations to support rollback include hardware, software, firmware, configuration files, configuration records, and associated documentation.

+ + + +

of previous baseline configuration version(s) of the system is/are retained to support rollback.

+ + + + + + +

Configuration management policy

+

procedures addressing the baseline configuration of the system

+

configuration management plan

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

copies of previous baseline configuration versions

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing baseline configurations

+ + + + + Unauthorized Software + + + + + + + + + Authorized Software + + + + + + + + + Development and Test Environments + + + + + + + + + + + +

Maintain a baseline configuration for system development and test environments that is managed separately from the operational baseline configuration.

+ + +

Establishing separate baseline configurations for development, testing, and operational environments protects systems from unplanned or unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, the management of operational configurations typically emphasizes the need for stability, while the management of development or test configurations requires greater flexibility. Configurations in the test environment mirror configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. Separate baseline configurations do not necessarily require separate physical environments.

+ + + + + +

a baseline configuration for system development environments that is managed separately from the operational baseline configuration is maintained;

+ + + + +

a baseline configuration for test environments that is managed separately from the operational baseline configuration is maintained.

+ + + + + + + + +

Configuration management policy

+

procedures addressing the baseline configuration of the system

+

configuration management plan

+

system design documentation

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing baseline configurations

+

mechanisms implementing separate baseline configurations for development, test, and operational environments

+ + + + + Configure Systems and Components for High-risk Areas + + + + + +

the systems or system components to be issued when individuals travel to high-risk areas are defined;

+ + + + + + + +

configurations for systems or system components to be issued when individuals travel to high-risk areas are defined;

+ + + + + + + +

the controls to be applied when the individuals return from travel are defined;

+ + + + + + + + + + + + + + +

Issue with to individuals traveling to locations that the organization deems to be of significant risk; and

+ + + +

Apply the following controls to the systems or components when the individuals return from travel: .

+ + + +

When it is known that systems or system components will be in high-risk areas external to the organization, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take actions for notebook computers used by individuals departing on and returning from travel. Actions include determining the locations that are of concern, defining the required configurations for the components, ensuring that components are configured as intended before travel is initiated, and applying controls to the components after travel is completed. Specially configured notebook computers include computers with sanitized hard drives, limited applications, and more stringent configuration settings. Controls applied to mobile devices upon return from travel include examining the mobile device for signs of physical tampering and purging and reimaging disk drives. Protecting information that resides on mobile devices is addressed in the MP (Media Protection) family.

+ + + + + +

with are issued to individuals traveling to locations that the organization deems to be of significant risk;

+ + + + +

are applied to the systems or system components when the individuals return from travel.

+ + + + + + + + +

Configuration management policy

+

configuration management plan

+

procedures addressing the baseline configuration of the system

+

procedures addressing system component installations and upgrades

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

system component inventory

+

records of system baseline configuration reviews and updates

+

system component installations/upgrades and associated records

+

change control records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing baseline configurations

+ + + + + + Configuration Change Control + + + + + +

the time period to retain records of configuration-controlled changes is defined;

+ + + + + + + +

the configuration change control element responsible for coordinating and overseeing change control activities is defined;

+ + + + + + + + + + + + +

the frequency at which the configuration control element convenes is defined (if selected);

+ + + + + + + +

configuration change conditions that prompt the configuration control element to convene are defined (if selected);

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Determine and document the types of changes to the system that are configuration-controlled;

+ + + +

Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses;

+ + + +

Document configuration change decisions associated with the system;

+ + + +

Implement approved configuration-controlled changes to the system;

+ + + +

Retain records of configuration-controlled changes to the system for ;

+ + + +

Monitor and review activities associated with configuration-controlled changes to the system; and

+ + + +

Coordinate and provide oversight for configuration change control activities through that convenes .

+ + + +

Configuration change control for organizational systems involves the systematic proposal, justification, implementation, testing, review, and disposition of system changes, including system upgrades and modifications. Configuration change control includes changes to baseline configurations, configuration items of systems, operational procedures, configuration settings for system components, remediate vulnerabilities, and unscheduled or unauthorized changes. Processes for managing configuration changes to systems include Configuration Control Boards or Change Advisory Boards that review and approve proposed changes. For changes that impact privacy risk, the senior agency official for privacy updates privacy impact assessments and system of records notices. For new systems or major upgrades, organizations consider including representatives from the development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to systems and the auditing activities required to implement such changes. See also SA-10.

+ + + + + +

the types of changes to the system that are configuration-controlled are determined and documented;

+ + + + + + +

proposed configuration-controlled changes to the system are reviewed;

+ + + + +

proposed configuration-controlled changes to the system are approved or disapproved with explicit consideration for security and privacy impact analyses;

+ + + + + + +

configuration change decisions associated with the system are documented;

+ + + + +

approved configuration-controlled changes to the system are implemented;

+ + + + +

records of configuration-controlled changes to the system are retained for ;

+ + + + + + +

activities associated with configuration-controlled changes to the system are monitored;

+ + + + +

activities associated with configuration-controlled changes to the system are reviewed;

+ + + + + + + + +

configuration change control activities are coordinated and overseen by ;

+ + + + +

the configuration control element convenes .

+ + + + + + + + + + +

Configuration management policy

+

procedures addressing system configuration change control

+

configuration management plan

+

system architecture and configuration documentation

+

change control records

+

system audit records

+

change control audit and review reports

+

agenda/minutes/documentation from configuration change control oversight meetings

+

system security plan

+

privacy plan

+

privacy impact assessments

+

system of records notices

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration change control responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

members of change control board or similar

+ + + + + + +

Organizational processes for configuration change control

+

mechanisms that implement configuration change control

+ + + + Automated Documentation, Notification, and Prohibition of Changes + + + + + +

mechanisms used to automate configuration change control are defined;

+ + + + + + + +

approval authorities to be notified of and request approval for proposed changes to the system are defined;

+ + + + + + + +

the time period after which to highlight changes that have not been approved or disapproved is defined;

+ + + + + + + +

personnel to be notified when approved changes are complete is/are defined;

+ + + + + + + + + + +

Use to:

+ + +

Document proposed changes to the system;

+ + + +

Notify of proposed changes to the system and request change approval;

+ + + +

Highlight proposed changes to the system that have not been approved or disapproved within ;

+ + + +

Prohibit changes to the system until designated approvals are received;

+ + + +

Document all changes to the system; and

+ + + +

Notify when approved changes to the system are completed.

+ + + +

None.

+ + + + + +

are used to document proposed changes to the system;

+ + + + +

are used to notify of proposed changes to the system and request change approval;

+ + + + +

are used to highlight proposed changes to the system that have not been approved or disapproved within ;

+ + + + +

are used to prohibit changes to the system until designated approvals are received;

+ + + + +

are used to document all changes to the system;

+ + + + +

are used to notify when approved changes to the system are completed.

+ + + + + + + + +

Configuration management policy

+

procedures addressing system configuration change control

+

configuration management plan

+

system design documentation

+

system architecture and configuration documentation

+

automated configuration control mechanisms

+

system configuration settings and associated documentation

+

change control records

+

system audit records

+

change approval requests

+

change approvals

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration change control responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

members of change control board or similar

+ + + + + + +

Organizational processes for configuration change control

+

automated mechanisms implementing configuration change control activities

+ + + + + Testing, Validation, and Documentation of Changes + + + + + + + + +

Test, validate, and document changes to the system before finalizing the implementation of the changes.

+ + +

Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6 . Organizations ensure that testing does not interfere with system operations that support organizational mission and business functions. Individuals or groups conducting tests understand security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken offline, or replicated to the extent feasible, before testing can be conducted. If systems must be taken offline for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls.

+ + + + + +

changes to the system are tested before finalizing the implementation of the changes;

+ + + + +

changes to the system are validated before finalizing the implementation of the changes;

+ + + + +

changes to the system are documented before finalizing the implementation of the changes.

+ + + + + + + + +

Configuration management policy

+

configuration management plan

+

procedures addressing system configuration change control

+

system design documentation

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

test records

+

validation records

+

change control records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration change control responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

members of change control board or similar

+ + + + + + +

Organizational processes for configuration change control

+

mechanisms supporting and/or implementing, testing, validating, and documenting system changes

+ + + + + Automated Change Implementation + + + + + +

mechanisms used to automate the implementation of changes and deployment of the updated baseline across the installed base are defined;

+ + + + + + + + + +

Implement changes to the current system baseline and deploy the updated baseline across the installed base using .

+ + +

Automated tools can improve the accuracy, consistency, and availability of configuration baseline information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization.

+ + + + + +

changes to the current system baseline are implemented using ;

+ + + + +

the updated baseline is deployed across the installed base using .

+ + + + + + + + +

Configuration management policy

+

configuration management plan

+

procedures addressing system configuration change control

+

system design documentation

+

system architecture and configuration documentation

+

automated configuration control mechanisms

+

change control records

+

system component inventory

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration change control responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

members of change control board or similar

+ + + + + + +

Organizational processes for configuration change control

+

automated mechanisms implementing changes to current system baseline

+ + + + + Security and Privacy Representatives + + + + + + + + + +

security representatives required to be members of the change control element are defined;

+ + + + + + +

privacy representatives required to be members of the change control element are defined;

+ + + + + + + +

the configuration change control element of which the security and privacy representatives are to be members is defined;

+ + + + + + + + + +

Require to be members of the .

+ + +

Information security and privacy representatives include system security officers, senior agency information security officers, senior agency officials for privacy, or system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change control element referred to in the second organization-defined parameter reflects the change control elements defined by organizations in CM-3g.

+ + + + + +

are required to be members of the ;

+ + + + +

are required to be members of the .

+ + + + + + + + +

Configuration management policy

+

procedures addressing system configuration change control

+

configuration management plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration change control responsibilities

+

organizational personnel with information security and privacy responsibilities

+

members of change control board or similar

+ + + + + + +

Organizational processes for configuration change control

+ + + + + Automated Security Response + + + + + +

security responses to be automatically implemented are defined;

+ + + + + + + + + +

Implement the following security responses automatically if baseline configurations are changed in an unauthorized manner: .

+ + +

Automated security responses include halting selected system functions, halting system processing, and issuing alerts or notifications to organizational personnel when there is an unauthorized modification of a configuration item.

+ + + +

are automatically implemented if baseline configurations are changed in an unauthorized manner.

+ + + + + + +

System security plan

+

configuration management policy

+

procedures addressing system configuration change control

+

configuration management plan

+

system design documentation

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

alerts/notifications of unauthorized baseline configuration changes

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration change control responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

members of change control board or similar

+ + + + + + +

Organizational processes for configuration change control

+

automated mechanisms implementing security responses to unauthorized changes to the baseline configurations

+ + + + + Cryptography Management + + + + + +

controls provided by cryptographic mechanisms that are to be under configuration management are defined;

+ + + + + + + + + + +

Ensure that cryptographic mechanisms used to provide the following controls are under configuration management: .

+ + +

The controls referenced in the control enhancement refer to security and privacy controls from the control catalog. Regardless of the cryptographic mechanisms employed, processes and procedures are in place to manage those mechanisms. For example, if system components use certificates for identification and authentication, a process is implemented to address the expiration of those certificates.

+ + + +

cryptographic mechanisms used to provide are under configuration management.

+ + + + + + +

Configuration management policy

+

procedures addressing system configuration change control

+

configuration management plan

+

system design documentation

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration change control responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

members of change control board or similar

+ + + + + + +

Organizational processes for configuration change control

+

cryptographic mechanisms implementing organizational security safeguards (controls)

+ + + + + Review System Changes + + + + + +

the frequency at which changes are to be reviewed is defined;

+ + + + + + + +

the circumstances under which changes are to be reviewed are defined;

+ + + + + + + + + + + + +

Review changes to the system or when to determine whether unauthorized changes have occurred.

+ + +

Indications that warrant a review of changes to the system and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process or continuous monitoring process.

+ + + +

changes to the system are reviewed or when to determine whether unauthorized changes have occurred.

+ + + + + + +

Configuration management policy

+

procedures addressing system configuration change control

+

configuration management plan

+

change control records

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

system audit records

+

system component inventory

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with configuration change control responsibilities

+

organizational personnel with security responsibilities

+

system/network administrators

+

members of change control board or similar

+ + + + + + +

Organizational processes for configuration change control

+

mechanisms implementing audit records for changes

+ + + + + Prevent or Restrict Configuration Changes + + + + + +

the circumstances under which changes are to be prevented or restricted are defined;

+ + + + + + + + + +

Prevent or restrict changes to the configuration of the system under the following circumstances: .

+ + +

System configuration changes can adversely affect critical system security and privacy functionality. Change restrictions can be enforced through automated mechanisms.

+ + + +

changes to the configuration of the system are prevented or restricted under .

+ + + + + + +

Configuration management policy

+

procedures addressing system configuration change control

+

configuration management plan

+

change control records

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

system component inventory

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + Impact Analyses + + + + + + + + + + + + + + + + + + + + +

Analyze changes to the system to determine potential security and privacy impacts prior to change implementation.

+ + +

Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems as well as the security or privacy ramifications. Impact analyses include reviewing security and privacy plans, policies, and procedures to understand control requirements; reviewing system design documentation and operational procedures to understand control implementation and how specific system changes might affect the controls; reviewing the impact of changes on organizational supply chain partners with stakeholders; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses also include risk assessments to understand the impact of the changes and determine if additional controls are required.

+ + + + + +

changes to the system are analyzed to determine potential security impacts prior to change implementation;

+ + + + +

changes to the system are analyzed to determine potential privacy impacts prior to change implementation.

+ + + + + + + + +

Configuration management policy

+

procedures addressing security impact analyses for changes to the system

+

procedures addressing privacy impact analyses for changes to the system

+

configuration management plan

+

security impact analysis documentation

+

privacy impact analysis documentation

+

privacy impact assessment

+

privacy risk assessment documentation, system design documentation

+

analysis tools and associated outputs

+

change control records

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibility for conducting security impact analyses

+

organizational personnel with responsibility for conducting privacy impact analyses

+

organizational personnel with information security and privacy responsibilities

+

system developer

+

system/network administrators

+

members of change control board or similar

+ + + + + + +

Organizational processes for security impact analyses

+

organizational processes for privacy impact analyses

+ + + + Separate Test Environments + + + + + + + + + + +

Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice.

+ + +

A separate test environment requires an environment that is physically or logically separate and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment and that information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not implemented, organizations determine the strength of mechanism required when implementing logical separation.

+ + + + + +

changes to the system are analyzed in a separate test environment before implementation in an operational environment;

+ + + + +

changes to the system are analyzed for security impacts due to flaws;

+ + + + +

changes to the system are analyzed for privacy impacts due to flaws;

+ + + + +

changes to the system are analyzed for security impacts due to weaknesses;

+ + + + +

changes to the system are analyzed for privacy impacts due to weaknesses;

+ + + + +

changes to the system are analyzed for security impacts due to incompatibility;

+ + + + +

changes to the system are analyzed for privacy impacts due to incompatibility;

+ + + + +

changes to the system are analyzed for security impacts due to intentional malice;

+ + + + +

changes to the system are analyzed for privacy impacts due to intentional malice.

+ + + + + + + + +

Configuration management policy

+

procedures addressing security impact analyses for changes to the system

+

procedures addressing privacy impact analyses for changes to the system

+

configuration management plan

+

security impact analysis documentation

+

privacy impact analysis documentation

+

privacy impact assessment

+

privacy risk assessment documentation

+

analysis tools and associated outputs system design documentation

+

system architecture and configuration documentation

+

change control records

+

procedures addressing the authority to test with PII

+

system audit records

+

documentation of separate test and operational environments

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibility for conducting security and privacy impact analyses

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

members of change control board or similar

+ + + + + + +

Organizational processes for security and privacy impact analyses

+

mechanisms supporting and/or implementing security and privacy impact analyses of changes

+ + + + + Verification of Controls + + + + + + + + + + + +

After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system.

+ + +

Implementation in this context refers to installing changed code in the operational system that may have an impact on security or privacy controls.

+ + + + + +

the impacted controls are implemented correctly with regard to meeting the security requirements for the system after system changes;

+ + + + +

the impacted controls are implemented correctly with regard to meeting the privacy requirements for the system after system changes;

+ + + + +

the impacted controls are operating as intended with regard to meeting the security requirements for the system after system changes;

+ + + + +

the impacted controls are operating as intended with regard to meeting the privacy requirements for the system after system changes;

+ + + + +

the impacted controls are producing the desired outcome with regard to meeting the security requirements for the system after system changes;

+ + + + +

the impacted controls are producing the desired outcome with regard to meeting the privacy requirements for the system after system changes.

+ + + + + + + + +

Configuration management policy

+

procedures addressing security impact analyses for changes to the system

+

procedures addressing privacy impact analyses for changes to the system

+

privacy risk assessment documentation

+

configuration management plan

+

security and privacy impact analysis documentation

+

privacy impact assessment

+

analysis tools and associated outputs

+

change control records

+

control assessment results

+

system audit records

+

system component inventory

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibility for conducting security and privacy impact analyses

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

security and privacy assessors

+ + + + + + +

Organizational processes for security and privacy impact analyses

+

mechanisms supporting and/or implementing security and privacy impact analyses of changes

+ + + + + + Access Restrictions for Change + + + + + + + + + + + + + + + + + + +

Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system.

+ + +

Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system can potentially have significant effects on the security of the systems or individuals’ privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see AC-3 and PE-3 ), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times).

+ + + + + +

physical access restrictions associated with changes to the system are defined and documented;

+ + + + +

physical access restrictions associated with changes to the system are approved;

+ + + + +

physical access restrictions associated with changes to the system are enforced;

+ + + + +

logical access restrictions associated with changes to the system are defined and documented;

+ + + + +

logical access restrictions associated with changes to the system are approved;

+ + + + +

logical access restrictions associated with changes to the system are enforced.

+ + + + + + + + +

Configuration management policy

+

procedures addressing access restrictions for changes to the system

+

configuration management plan

+

system design documentation

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

logical access approvals

+

physical access approvals

+

access credentials

+

change control records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with logical access control responsibilities

+

organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing access restrictions to change

+

mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system

+ + + + Automated Access Enforcement and Audit Records + + + + + +

mechanisms used to automate the enforcement of access restrictions are defined;

+ + + + + + + + + + + + + + + + + + +

Enforce access restrictions using ; and

+ + + +

Automatically generate audit records of the enforcement actions.

+ + + +

Organizations log system accesses associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes.

+ + + + + +

access restrictions for change are enforced using ;

+ + + + +

audit records of enforcement actions are automatically generated.

+ + + + + + + + +

Configuration management policy

+

procedures addressing access restrictions for changes to the system

+

system design documentation

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

change control records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with logical access control responsibilities

+

organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing access restrictions to change

+

automated mechanisms implementing the enforcement of access restrictions for changes to the system

+

automated mechanisms supporting auditing of enforcement actions

+ + + + + Review System Changes + + + + + + + + + Signed Components + + + + + + + + + Dual Authorization + + + + + + + + + +

system components requiring dual authorization for changes are defined;

+ + + + + + +

system-level information requiring dual authorization for changes is defined;

+ + + + + + + + + + + + + +

Enforce dual authorization for implementing changes to .

+ + +

Organizations employ dual authorization to help ensure that any changes to selected system components and information cannot occur unless two qualified individuals approve and implement such changes. The two individuals possess the skills and expertise to determine if the proposed changes are correct implementations of approved changes. The individuals are also accountable for the changes. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. System-level information includes operational procedures.

+ + + + + +

dual authorization for implementing changes to is enforced;

+ + + + +

dual authorization for implementing changes to is enforced.

+ + + + + + + + +

Configuration management policy

+

procedures addressing access restrictions for changes to the system

+

configuration management plan

+

system design documentation

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

change control records

+

system audit records

+

system component inventory

+

system information types information

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with dual authorization enforcement responsibilities for implementing system changes

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing access restrictions to change

+

mechanisms implementing dual authorization enforcement

+ + + + + Privilege Limitation for Production and Operation + + + + + + + + + +

frequency at which to review privileges is defined;

+ + + + + + +

frequency at which to reevaluate privileges is defined;

+ + + + + + + + + + + + +

Limit privileges to change system components and system-related information within a production or operational environment; and

+ + + +

Review and reevaluate privileges .

+ + + +

In many organizations, systems support multiple mission and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The relationships between systems and mission/business processes are, in some cases, unknown to developers. System-related information includes operational procedures.

+ + + + + + + +

privileges to change system components within a production or operational environment are limited;

+ + + + +

privileges to change system-related information within a production or operational environment are limited;

+ + + + + + + + +

privileges are reviewed ;

+ + + + +

privileges are reevaluated .

+ + + + + + + + + + +

Configuration management policy

+

procedures addressing access restrictions for changes to the system

+

configuration management plan

+

system design documentation

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

user privilege reviews

+

user privilege recertifications

+

system component inventory

+

change control records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing access restrictions to change

+

mechanisms supporting and/or implementing access restrictions for change

+ + + + + Limit Library Privileges + + + + + + + + + +

Limit privileges to change software resident within software libraries.

+ + +

Software libraries include privileged programs.

+ + + +

privileges to change software resident within software libraries are limited.

+ + + + + + +

Configuration management policy

+

procedures addressing access restrictions for changes to the system

+

configuration management plan

+

system design documentation

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

system component inventory

+

change control records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing access restrictions to change

+

mechanisms supporting and/or implementing access restrictions for change

+ + + + + Automatic Implementation of Security Safeguards + + + + + + + + + + Configuration Settings + + + + + +

common secure configurations to establish and document configuration settings for components employed within the system are defined;

+ + + + + + + +

system components for which approval of deviations is needed are defined;

+ + + + + + + +

operational requirements necessitating approval of deviations are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Establish and document configuration settings for components employed within the system that reflect the most restrictive mode consistent with operational requirements using ;

+ + + +

Implement the configuration settings;

+ + + +

Identify, document, and approve any deviations from established configuration settings for based on ; and

+ + + +

Monitor and control changes to the configuration settings in accordance with organizational policies and procedures.

+ + + +

Configuration settings are the parameters that can be changed in the hardware, software, or firmware components of the system that affect the security and privacy posture or functionality of the system. Information technology products for which configuration settings can be defined include mainframe computers, servers, workstations, operating systems, mobile devices, input/output devices, protocols, and applications. Parameters that impact the security posture of systems include registry settings; account, file, or directory permission settings; and settings for functions, protocols, ports, services, and remote connections. Privacy parameters are parameters impacting the privacy posture of systems, including the parameters required to satisfy other privacy controls. Privacy parameters include settings for access controls, data processing preferences, and processing and retention permissions. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the configuration baseline for the system.

+

Common secure configurations (also known as security configuration checklists, lockdown and hardening guides, and security reference guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for information technology products and platforms as well as instructions for configuring those products or platforms to meet operational requirements. Common secure configurations can be developed by a variety of organizations, including information technology product developers, manufacturers, vendors, federal agencies, consortia, academia, industry, and other organizations in the public and private sectors.

+

Implementation of a common secure configuration may be mandated at the organization level, mission and business process level, system level, or at a higher level, including by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline USGCB and security technical implementation guides (STIGs), which affect the implementation of CM-6 and other controls such as AC-19 and CM-7 . The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings.

+ + + + + +

configuration settings that reflect the most restrictive mode consistent with operational requirements are established and documented for components employed within the system using ;

+ + + + +

the configuration settings documented in CM-06a are implemented;

+ + + + + + +

any deviations from established configuration settings for are identified and documented based on ;

+ + + + +

any deviations from established configuration settings for are approved;

+ + + + + + + + +

changes to the configuration settings are monitored in accordance with organizational policies and procedures;

+ + + + +

changes to the configuration settings are controlled in accordance with organizational policies and procedures.

+ + + + + + + + + + +

Configuration management policy

+

procedures addressing configuration settings for the system

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

common secure configuration checklists

+

system component inventory

+

evidence supporting approved deviations from established configuration settings

+

change control records

+

system data processing and retention permissions

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security configuration management responsibilities

+

organizational personnel with privacy configuration management responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing configuration settings

+

mechanisms that implement, monitor, and/or control system configuration settings

+

mechanisms that identify and/or document deviations from established configuration settings

+ + + + Automated Management, Application, and Verification + + + + + + + + + + + +

system components for which to manage, apply, and verify configuration settings are defined;

+ + + + + + +

automated mechanisms to manage configuration settings are defined;

+ + + + + + +

automated mechanisms to apply configuration settings are defined;

+ + + + + + +

automated mechanisms to verify configuration settings are defined;

+ + + + + + + + + + +

Manage, apply, and verify configuration settings for using .

+ + +

Automated tools (e.g., hardening tools, baseline configuration tools) can improve the accuracy, consistency, and availability of configuration settings information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization.

+ + + + + +

configuration settings for are managed using ;

+ + + + +

configuration settings for are applied using ;

+ + + + +

configuration settings for are verified using .

+ + + + + + + + +

Configuration management policy

+

procedures addressing configuration settings for the system

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

system component inventory

+

common secure configuration checklists

+

change control records

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security configuration management responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes for managing configuration settings

+

automated mechanisms implemented to manage, apply, and verify system configuration settings

+ + + + + Respond to Unauthorized Changes + + + + + +

actions to be taken upon an unauthorized change are defined;

+ + + + + + + +

configuration settings requiring action upon an unauthorized change are defined;

+ + + + + + + + + + + + +

Take the following actions in response to unauthorized changes to : .

+ + +

Responses to unauthorized changes to configuration settings include alerting designated organizational personnel, restoring established configuration settings, or—in extreme cases—halting affected system processing.

+ + + +

are taken in response to unauthorized changes to .

+ + + + + + +

System security plan

+

privacy plan

+

configuration management policy

+

procedures addressing configuration settings for the system

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

alerts/notifications of unauthorized changes to system configuration settings

+

system component inventory

+

documented responses to unauthorized changes to system configuration settings

+

change control records

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security configuration management responsibilities

+

organizational personnel with security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Organizational process for responding to unauthorized changes to system configuration settings

+

mechanisms supporting and/or implementing actions in response to unauthorized changes

+ + + + + Unauthorized Change Detection + + + + + + + + + Conformance Demonstration + + + + + + + + + + Least Functionality + + + + + + + + + + + + + + +

mission-essential capabilities for the system are defined;

+ + + + + + +

functions to be prohibited or restricted are defined;

+ + + + + + +

ports to be prohibited or restricted are defined;

+ + + + + + +

protocols to be prohibited or restricted are defined;

+ + + + + + +

software to be prohibited or restricted is defined;

+ + + + + + +

services to be prohibited or restricted are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Configure the system to provide only ; and

+ + + +

Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: .

+ + + +

Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies, such as firewalls and host-based intrusion detection systems, to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see SA-8, SC-2 , and SC-3).

+ + + + + +

the system is configured to provide only ;

+ + + + + + +

the use of is prohibited or restricted;

+ + + + +

the use of is prohibited or restricted;

+ + + + +

the use of is prohibited or restricted;

+ + + + +

the use of is prohibited or restricted;

+ + + + +

the use of is prohibited or restricted.

+ + + + + + + + + + +

Configuration management policy

+

procedures addressing least functionality in the system

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

system component inventory

+

common secure configuration checklists

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security configuration management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services

+

mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services

+ + + + Periodic Review + + + + + + + + + + + + + +

the frequency at which to review the system to identify unnecessary and/or non-secure functions, ports, protocols, software, and/or services is defined;

+ + + + + + +

functions to be disabled or removed when deemed unnecessary or non-secure are defined;

+ + + + + + +

ports to be disabled or removed when deemed unnecessary or non-secure are defined;

+ + + + + + +

protocols to be disabled or removed when deemed unnecessary or non-secure are defined;

+ + + + + + +

software to be disabled or removed when deemed unnecessary or non-secure is defined;

+ + + + + + +

services to be disabled or removed when deemed unnecessary or non-secure are defined;

+ + + + + + + + + + + + + +

Review the system to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and

+ + + +

Disable or remove .

+ + + +

Organizations review functions, ports, protocols, and services provided by systems or system components to determine the functions and services that are candidates for elimination. Such reviews are especially important during transition periods from older technologies to newer technologies (e.g., transition from IPv4 to IPv6). These technology transitions may require implementing the older and newer technologies simultaneously during the transition period and returning to minimum essential functions, ports, protocols, and services at the earliest opportunity. Organizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Unsecure protocols include Bluetooth, FTP, and peer-to-peer networking.

+ + + + + +

the system is reviewed to identify unnecessary and/or non-secure functions, ports, protocols, software, and services:

+ + + + + + +

deemed to be unnecessary and/or non-secure are disabled or removed;

+ + + + +

deemed to be unnecessary and/or non-secure are disabled or removed;

+ + + + +

deemed to be unnecessary and/or non-secure are disabled or removed;

+ + + + +

deemed to be unnecessary and/or non-secure is disabled or removed;

+ + + + +

deemed to be unnecessary and/or non-secure are disabled or removed.

+ + + + + + + + + + +

Configuration management policy

+

procedures addressing least functionality in the system

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

common secure configuration checklists

+

documented reviews of functions, ports, protocols, and/or services

+

change control records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system

+

mechanisms implementing review and disabling of functions, ports, protocols, and/or services

+ + + + + Prevent Program Execution + + + + + + + + + + +

policies, rules of behavior, and/or access agreements regarding software program usage and restrictions are defined (if selected);

+ + + + + + + + + + + + + + +

Prevent program execution in accordance with .

+ + +

Prevention of program execution addresses organizational policies, rules of behavior, and/or access agreements that restrict software usage and the terms and conditions imposed by the developer or manufacturer, including software licensing and copyrights. Restrictions include prohibiting auto-execute features, restricting roles allowed to approve program execution, permitting or prohibiting specific software programs, or restricting the number of program instances executed at the same time.

+ + + +

program execution is prevented in accordance with .

+ + + + + + +

Configuration management policy

+

procedures addressing least functionality in the system

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

system component inventory

+

common secure configuration checklists

+

specifications for preventing software program execution

+

change control records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes preventing program execution on the system

+

organizational processes for software program usage and restrictions

+

mechanisms preventing program execution on the system

+

mechanisms supporting and/or implementing software program usage and restrictions

+ + + + + Registration Compliance + + + + + + +

registration requirements for functions, ports, protocols, and services are defined;

+ + + + + + + + + +

Ensure compliance with .

+ + +

Organizations use the registration process to manage, track, and provide oversight for systems and implemented functions, ports, protocols, and services.

+ + + +

are complied with.

+ + + + + + +

System security plan

+

configuration management policy

+

procedures addressing least functionality in the system

+

configuration management plan

+

system configuration settings and associated documentation

+

system component inventory

+

audit and compliance reviews

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services

+

mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services

+ + + + + Unauthorized Software — Deny-by-exception + + + + + + +

software programs not authorized to execute on the system are defined;

+ + + + + + + +

frequency at which to review and update the list of unauthorized software programs is defined;

+ + + + + + + + + + + + + + + + + +

Identify ;

+ + + +

Employ an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the system; and

+ + + +

Review and update the list of unauthorized software programs .

+ + + +

Unauthorized software programs can be limited to specific versions or from a specific source. The concept of prohibiting the execution of unauthorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses.

+ + + + + +

are identified;

+ + + + +

an allow-all, deny-by-exception policy is employed to prohibit the execution of unauthorized software programs on the system;

+ + + + +

the list of unauthorized software programs is reviewed and updated .

+ + + + + + + + +

Configuration management policy

+

procedures addressing least functionality in the system

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

list of software programs not authorized to execute on the system

+

system component inventory

+

common secure configuration checklists

+

review and update records associated with list of unauthorized software programs

+

change control records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for identifying software not authorized to execute on the system

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational process for identifying, reviewing, and updating programs not authorized to execute on the system

+

organizational process for implementing unauthorized software policy

+

mechanisms supporting and/or implementing unauthorized software policy

+ + + + + Authorized Software — Allow-by-exception + + + + + + +

software programs authorized to execute on the system are defined;

+ + + + + + + +

frequency at which to review and update the list of authorized software programs is defined;

+ + + + + + + + + + + + + + + + + + + + + +

Identify ;

+ + + +

Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and

+ + + +

Review and update the list of authorized software programs .

+ + + +

Authorized software programs can be limited to specific versions or from a specific source. To facilitate a comprehensive authorized software process and increase the strength of protection for attacks that bypass application level authorized software, software programs may be decomposed into and monitored at different levels of detail. These levels include applications, application programming interfaces, application modules, scripts, system processes, system services, kernel functions, registries, drivers, and dynamic link libraries. The concept of permitting the execution of authorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses. Organizations consider verifying the integrity of authorized software programs using digital signatures, cryptographic checksums, or hash functions. Verification of authorized software can occur either prior to execution or at system startup. The identification of authorized URLs for websites is addressed in CA-3(5) and SC-7.

+ + + + + +

are identified;

+ + + + +

a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system is employed;

+ + + + +

the list of authorized software programs is reviewed and updated .

+ + + + + + + + +

Configuration management policy

+

procedures addressing least functionality in the system

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

list of software programs authorized to execute on the system

+

system component inventory

+

common secure configuration checklists

+

review and update records associated with list of authorized software programs

+

change control records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for identifying software authorized to execute on the system

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational process for identifying, reviewing, and updating programs authorized to execute on the system

+

organizational process for implementing authorized software policy

+

mechanisms supporting and/or implementing authorized software policy

+ + + + + Confined Environments with Limited Privileges + + + + + +

user-installed software required to be executed in a confined environment is defined;

+ + + + + + + + + + + + +

Require that the following user-installed software execute in a confined physical or virtual machine environment with limited privileges: .

+ + +

Organizations identify software that may be of concern regarding its origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.

+ + + +

is required to be executed in a confined physical or virtual machine environment with limited privileges.

+ + + + + + +

Configuration management policy

+

procedures addressing least functionality in the system

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

list or record of software required to execute in a confined environment

+

system component inventory

+

common secure configuration checklists

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for identifying and/or managing user-installed software and associated privileges

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational process for identifying user-installed software required to execute in a confined environment

+

mechanisms supporting and/or implementing the confinement of user-installed software to physical or virtual machine environments

+

mechanisms supporting and/or implementing privilege limitations on user-installed software

+ + + + + Code Execution in Protected Environments + + + + + +

personnel or roles to explicitly approve execution of binary or machine-executable code is/are defined;

+ + + + + + + + + + + + + +

Allow execution of binary or machine-executable code only in confined physical or virtual machine environments and with the explicit approval of when such code is:

+ + +

Obtained from sources with limited or no warranty; and/or

+ + + +

Without the provision of source code.

+ + + +

Code execution in protected environments applies to all sources of binary or machine-executable code, including commercial software and firmware and open-source software.

+ + + +

the execution of binary or machine-executable code is only allowed in confined physical or virtual machine environments;

+ + +

the execution of binary or machine-executable code obtained from sources with limited or no warranty is only allowed with the explicit approval of ;

+ + + + +

the execution of binary or machine-executable code without the provision of source code is only allowed with the explicit approval of .

+ + + + + + + + +

Configuration management policy

+

procedures addressing least functionality in the system

+

configuration management plan

+

system design documentation

+

system configuration settings and associated documentation

+

list or record of binary or machine-executable code

+

system component inventory

+

common secure configuration checklists

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for approving execution of binary or machine-executable code

+

organizational personnel with information security responsibilities

+

organizational personnel with software management responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational process for approving execution of binary or machine-executable code

+

organizational process for confining binary or machine-executable code to physical or virtual machine environments

+

mechanisms supporting and/or implementing the confinement of binary or machine-executable code to physical or virtual machine environments

+ + + + + Binary or Machine Executable Code + + + + + + + + + + + + + +

Prohibit the use of binary or machine-executable code from sources with limited or no warranty or without the provision of source code; and

+ + + +

Allow exceptions only for compelling mission or operational requirements and with the approval of the authorizing official.

+ + + +

Binary or machine executable code applies to all sources of binary or machine-executable code, including commercial software and firmware and open-source software. Organizations assess software products without accompanying source code or from sources with limited or no warranty for potential security impacts. The assessments address the fact that software products without the provision of source code may be difficult to review, repair, or extend. In addition, there may be no owners to make such repairs on behalf of organizations. If open-source software is used, the assessments address the fact that there is no warranty, the open-source software could contain back doors or malware, and there may be no support available.

+ + + + + +

the use of binary or machine-executable code is prohibited when it originates from sources with limited or no warranty or without the provision of source code;

+ + + + + + +

exceptions to the prohibition of binary or machine-executable code from sources with limited or no warranty or without the provision of source code are allowed only for compelling mission or operational requirements;

+ + + + +

exceptions to the prohibition of binary or machine-executable code from sources with limited or no warranty or without the provision of source code are allowed only with the approval of the authorizing official.

+ + + + + + + + + + +

Configuration management policy

+

procedures addressing least functionality in the system

+

configuration management plan

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

list or record of binary or machine-executable code

+

system component inventory

+

common secure configuration checklists

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for determining mission and operational requirements

+

authorizing official for the system

+

organizational personnel with information security responsibilities

+

organizational personnel with software management responsibilities

+

system/network administrators

+ + + + + + +

Organizational process for approving execution of binary or machine-executable code

+

mechanisms supporting and/or implementing the prohibition of binary or machine-executable code

+ + + + + Prohibiting The Use of Unauthorized Hardware + + + + + + +

hardware components authorized for system use are defined;

+ + + + + + + +

frequency at which to review and update the list of authorized hardware components is defined;

+ + + + + + + + + + + + + +

Identify ;

+ + + +

Prohibit the use or connection of unauthorized hardware components;

+ + + +

Review and update the list of authorized hardware components .

+ + + +

Hardware components provide the foundation for organizational systems and the platform for the execution of authorized software programs. Managing the inventory of hardware components and controlling which hardware components are permitted to be installed or connected to organizational systems is essential in order to provide adequate security.

+ + + + + +

are identified;

+ + + + +

the use or connection of unauthorized hardware components is prohibited;

+ + + + +

the list of authorized hardware components is reviewed and updated .

+ + + + + + + + +

Configuration management policy

+

network connection policy and procedures

+

configuration management plan

+

system security plan

+

system design documentation

+

system component inventory

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system hardware management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational process for approving execution of binary or machine-executable code

+

mechanisms supporting and/or implementing the prohibition of binary or machine-executable code

+ + + + + + System Component Inventory + + + + + + +

information deemed necessary to achieve effective system component accountability is defined;

+ + + + + + + +

frequency at which to review and update the system component inventory is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Develop and document an inventory of system components that:

+ + +

Accurately reflects the system;

+ + + +

Includes all components within the system;

+ + + +

Does not include duplicate accounting of components or components assigned to any other system;

+ + + +

Is at the level of granularity deemed necessary for tracking and reporting; and

+ + + +

Includes the following information to achieve system component accountability: ; and

+ + + + +

Review and update the system component inventory .

+ + + +

System components are discrete, identifiable information technology assets that include hardware, software, and firmware. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for component accountability. The information necessary for effective accountability of system components includes the system name, software owners, software version numbers, hardware inventory specifications, software license information, and for networked components, the machine names and network addresses across all implemented protocols (e.g., IPv4, IPv6). Inventory specifications include date of receipt, cost, model, serial number, manufacturer, supplier information, component type, and physical location.

+

Preventing duplicate accounting of system components addresses the lack of accountability that occurs when component ownership and system association is not known, especially in large or complex connected systems. Effective prevention of duplicate accounting of system components necessitates use of a unique identifier for each component. For software inventory, centrally managed software that is accessed via other systems is addressed as a component of the system on which it is installed and managed. Software installed on multiple organizational systems and managed at the system level is addressed for each individual system and may appear more than once in a centralized component inventory, necessitating a system association for each software instance in the centralized inventory to avoid duplicate accounting of components. Scanning systems implementing multiple network protocols (e.g., IPv4 and IPv6) can result in duplicate components being identified in different address spaces. The implementation of CM-8(7) can help to eliminate duplicate accounting of components.

+ + + + + + + +

an inventory of system components that accurately reflects the system is developed and documented;

+ + + + +

an inventory of system components that includes all components within the system is developed and documented;

+ + + + +

an inventory of system components that does not include duplicate accounting of components or components assigned to any other system is developed and documented;

+ + + + +

an inventory of system components that is at the level of granularity deemed necessary for tracking and reporting is developed and documented;

+ + + + +

an inventory of system components that includes is developed and documented;

+ + + + + + +

the system component inventory is reviewed and updated .

+ + + + + + + + +

Configuration management policy

+

procedures addressing system component inventory

+

configuration management plan

+

system security plan

+

system design documentation

+

system component inventory

+

inventory reviews and update records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with component inventory management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing the system component inventory

+

mechanisms supporting and/or implementing system component inventory

+ + + + Updates During Installation and Removal + + + + + + + + + +

Update the inventory of system components as part of component installations, removals, and system updates.

+ + +

Organizations can improve the accuracy, completeness, and consistency of system component inventories if the inventories are updated as part of component installations or removals or during general system updates. If inventories are not updated at these key times, there is a greater likelihood that the information will not be appropriately captured and documented. System updates include hardware, software, and firmware components.

+ + + + + +

the inventory of system components is updated as part of component installations;

+ + + + +

the inventory of system components is updated as part of component removals;

+ + + + +

the inventory of system components is updated as part of system updates.

+ + + + + + + + +

Configuration management policy

+

procedures addressing system component inventory

+

configuration management plan

+

system security plan

+

system component inventory

+

inventory reviews and update records

+

change control records

+

component installation records

+

component removal records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with component inventory updating responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for updating the system component inventory

+

mechanisms supporting and/or implementing system component inventory updates

+ + + + + Automated Maintenance + + + + + + + + + + + +

automated mechanisms used to maintain the currency of the system component inventory are defined;

+ + + + + + +

automated mechanisms used to maintain the completeness of the system component inventory are defined;

+ + + + + + +

automated mechanisms used to maintain the accuracy of the system component inventory are defined;

+ + + + + + +

automated mechanisms used to maintain the availability of the system component inventory are defined;

+ + + + + + + + + + +

Maintain the currency, completeness, accuracy, and availability of the inventory of system components using .

+ + +

Organizations maintain system inventories to the extent feasible. For example, virtual machines can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. Automated maintenance can be achieved by the implementation of CM-2(2) for organizations that combine system component inventory and baseline configuration activities.

+ + + + + +

are used to maintain the currency of the system component inventory;

+ + + + +

are used to maintain the completeness of the system component inventory;

+ + + + +

are used to maintain the accuracy of the system component inventory;

+ + + + +

are used to maintain the availability of the system component inventory.

+ + + + + + + + +

Configuration management policy

+

procedures addressing system component inventory

+

configuration management plan

+

system design documentation

+

system security plan

+

system component inventory

+

change control records

+

system maintenance records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with component inventory management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes for maintaining the system component inventory

+

automated mechanisms supporting and/or implementing the system component inventory

+ + + + + Automated Unauthorized Component Detection + + + + + + + + + + +

automated mechanisms used to detect the presence of unauthorized hardware within the system are defined;

+ + + + + + +

automated mechanisms used to detect the presence of unauthorized software within the system are defined;

+ + + + + + +

automated mechanisms used to detect the presence of unauthorized firmware within the system are defined;

+ + + + + + + +

frequency at which automated mechanisms are used to detect the presence of unauthorized system components within the system is defined;

+ + + + + + + + + + + + +

personnel or roles to be notified when unauthorized components are detected is/are defined (if selected);

+ + + + + + + + + + + + + + + + + + + + + +

Detect the presence of unauthorized hardware, software, and firmware components within the system using ; and

+ + + +

Take the following actions when unauthorized components are detected: .

+ + + +

Automated unauthorized component detection is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms may also be used to prevent the connection of unauthorized components (see CM-7(9) ). Automated mechanisms can be implemented in systems or in separate system components. When acquiring and implementing automated mechanisms, organizations consider whether such mechanisms depend on the ability of the system component to support an agent or supplicant in order to be detected since some types of components do not have or cannot support agents (e.g., IoT devices, sensors). Isolation can be achieved , for example, by placing unauthorized system components in separate domains or subnets or quarantining such components. This type of component isolation is commonly referred to as sandboxing.

+ + + + + + + +

the presence of unauthorized hardware within the system is detected using ;

+ + + + +

the presence of unauthorized software within the system is detected using ;

+ + + + +

the presence of unauthorized firmware within the system is detected using ;

+ + + + + + + + +

are taken when unauthorized hardware is detected;

+ + + + +

are taken when unauthorized software is detected;

+ + + + +

are taken when unauthorized firmware is detected.

+ + + + + + + + + + +

Configuration management policy

+

procedures addressing system component inventory

+

configuration management plan

+

system design documentation

+

system security plan

+

system component inventory

+

change control records

+

alerts/notifications of unauthorized components within the system

+

system monitoring records

+

system maintenance records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with component inventory management responsibilities

+

organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes for detection of unauthorized system components

+

organizational processes for taking action when unauthorized system components are detected

+

automated mechanisms supporting and/or implementing the detection of unauthorized system components

+

automated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected

+ + + + + Accountability Information + + + + + + + + + + + + + + +

Include in the system component inventory information, a means for identifying by , individuals responsible and accountable for administering those components.

+ + +

Identifying individuals who are responsible and accountable for administering system components ensures that the assigned components are properly administered and that organizations can contact those individuals if some action is required (e.g., when the component is determined to be the source of a breach, needs to be recalled or replaced, or needs to be relocated).

+ + + +

individuals responsible and accountable for administering system components are identified by in the system component inventory.

+ + + + + + +

Configuration management policy

+

procedures addressing system component inventory

+

configuration management plan

+

system security plan

+

system component inventory

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with component inventory management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing the system component inventory

+

mechanisms supporting and/or implementing the system component inventory

+ + + + + No Duplicate Accounting of Components + + + + + + + + + Assessed Configurations and Approved Deviations + + + + + + + + +

Include assessed component configurations and any approved deviations to current deployed configurations in the system component inventory.

+ + +

Assessed configurations and approved deviations focus on configuration settings established by organizations for system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.

+ + + + + +

assessed component configurations are included in the system component inventory;

+ + + + +

any approved deviations to current deployed configurations are included in the system component inventory.

+ + + + + + + + +

Configuration management policy

+

procedures addressing system component inventory

+

configuration management plan

+

system security plan

+

system design documentation

+

system component inventory

+

system configuration settings and associated documentation

+

change control records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with component inventory management responsibilities

+

organizational personnel with assessment responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing the system component inventory

+

mechanisms supporting and/or implementing system component inventory

+ + + + + Centralized Repository + + + + + + + + +

Provide a centralized repository for the inventory of system components.

+ + +

Organizations may implement centralized system component inventories that include components from all organizational systems. Centralized repositories of component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability.

+ + + +

a centralized repository for the system component inventory is provided.

+ + + + + + +

Configuration management policy

+

procedures addressing system component inventory

+

configuration management plan

+

system design documentation

+

system security plan

+

system component inventory

+

system configuration settings and associated documentation

+

change control records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with component inventory management responsibilities

+

organizational personnel with security responsibilities

+

+ + + + + + +

Organizational processes for managing the system component inventory

+

mechanisms supporting and/or implementing system component inventory

+ + + + + Automated Location Tracking + + + + + +

automated mechanisms for tracking components are defined;

+ + + + + + + + + + +

Support the tracking of system components by geographic location using .

+ + +

The use of automated mechanisms to track the location of system components can increase the accuracy of component inventories. Such capability may help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. The use of tracking mechanisms can be coordinated with senior agency officials for privacy if there are implications that affect individual privacy.

+ + + +

are used to support the tracking of system components by geographic location.

+ + + + + + +

Configuration management policy

+

procedures addressing system component inventory

+

configuration management plan

+

system design documentation

+

system component inventory

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with component inventory management responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes for managing the system component inventory

+

automated mechanisms supporting and/or implementing system component inventory

+

automated mechanisms supporting and/or implementing tracking of components by geographic locations

+ + + + + Assignment of Components to Systems + + + + + +

personnel or roles from which to receive an acknowledgement is/are defined;

+ + + + + + + + + + + + +

Assign system components to a system; and

+ + + +

Receive an acknowledgement from of this assignment.

+ + + +

System components that are not assigned to a system may be unmanaged, lack the required protection, and become an organizational vulnerability.

+ + + + + +

system components are assigned to a system;

+ + + + +

an acknowledgement of the component assignment is received from .

+ + + + + + + + +

Configuration management policy

+

procedures addressing system component inventory

+

configuration management plan

+

system security plan

+

system design documentation

+

system component inventory

+

change control records

+

acknowledgements of system component assignments

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with component inventory management responsibilities

+

system owner

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for assigning components to systems

+

organizational processes for acknowledging assignment of components to systems

+

mechanisms implementing assignment of components to the system

+

mechanisms implementing acknowledgment of assignment of components to the system

+ + + + + + Configuration Management Plan + + + + + +

personnel or roles to review and approve the configuration management plan is/are defined;

+ + + + + + + + + + + + + + + + + + +

Develop, document, and implement a configuration management plan for the system that:

+ + +

Addresses roles, responsibilities, and configuration management processes and procedures;

+ + + +

Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;

+ + + +

Defines the configuration items for the system and places the configuration items under configuration management;

+ + + +

Is reviewed and approved by ; and

+ + + +

Protects the configuration management plan from unauthorized disclosure and modification.

+ + + +

Configuration management activities occur throughout the system development life cycle. As such, there are developmental configuration management activities (e.g., the control of code and software libraries) and operational configuration management activities (e.g., control of installed components and how the components are configured). Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Configuration management plans define processes and procedures for how configuration management is used to support system development life cycle activities.

+

Configuration management plans are generated during the development and acquisition stage of the system development life cycle. The plans describe how to advance changes through change management processes; update configuration settings and baselines; maintain component inventories; control development, test, and operational environments; and develop, release, and update key documents.

+

Organizations can employ templates to help ensure the consistent and timely development and implementation of configuration management plans. Templates can represent a configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include the designation of key stakeholders responsible for reviewing and approving proposed changes to systems, and personnel who conduct security and privacy impact analyses prior to the implementation of changes to the systems. Configuration items are the system components, such as the hardware, software, firmware, and documentation to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified, and some existing configuration items may no longer need to be under configuration control.

+ + + + + +

a configuration management plan for the system is developed and documented;

+ + + + +

a configuration management plan for the system is implemented;

+ + + + + + +

the configuration management plan addresses roles;

+ + + + +

the configuration management plan addresses responsibilities;

+ + + + +

the configuration management plan addresses configuration management processes and procedures;

+ + + + + + + + +

the configuration management plan establishes a process for identifying configuration items throughout the system development life cycle;

+ + + + +

the configuration management plan establishes a process for managing the configuration of the configuration items;

+ + + + + + + + +

the configuration management plan defines the configuration items for the system;

+ + + + +

the configuration management plan places the configuration items under configuration management;

+ + + + + + +

the configuration management plan is reviewed and approved by ;

+ + + + + + +

the configuration management plan is protected from unauthorized disclosure;

+ + + + +

the configuration management plan is protected from unauthorized modification.

+ + + + + + + + + + +

Configuration management policy

+

procedures addressing configuration management planning

+

configuration management plan

+

system design documentation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for developing the configuration management plan

+

organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan

+

organizational personnel with responsibilities for protecting the configuration management plan

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for developing and documenting the configuration management plan

+

organizational processes for identifying and managing configuration items

+

organizational processes for protecting the configuration management plan

+

mechanisms implementing the configuration management plan

+

mechanisms for managing configuration items

+

mechanisms for protecting the configuration management plan

+ + + + Assignment of Responsibility + + + + + + + +

Assign responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development.

+ + +

In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked with developing configuration management processes using personnel who are not directly involved in system development or system integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.

+ + + +

the responsibility for developing the configuration management process is assigned to organizational personnel who are not directly involved in system development.

+ + + + + + +

Configuration management policy

+

procedures addressing responsibilities for configuration management process development

+

configuration management plan

+

system security plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for configuration management process development

+

organizational personnel with information security responsibilities

+ + + + + + Software Usage Restrictions + + + + + + + + + + + + + + +

Use software and associated documentation in accordance with contract agreements and copyright laws;

+ + + +

Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and

+ + + +

Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

+ + + +

Software license tracking can be accomplished by manual or automated methods, depending on organizational needs. Examples of contract agreements include software license agreements and non-disclosure agreements.

+ + + + + +

software and associated documentation are used in accordance with contract agreements and copyright laws;

+ + + + +

the use of software and associated documentation protected by quantity licenses is tracked to control copying and distribution;

+ + + + +

the use of peer-to-peer file sharing technology is controlled and documented to ensure that peer-to-peer file sharing is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

+ + + + + + + + +

Configuration management policy

+

software usage restrictions

+

software contract agreements and copyright laws

+

site license documentation

+

list of software usage restrictions

+

software license tracking reports

+

configuration management plan

+

system security plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel operating, using, and/or maintaining the system

+

organizational personnel with software license management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for tracking the use of software protected by quantity licenses

+

organizational processes for controlling/documenting the use of peer-to-peer file sharing technology

+

mechanisms implementing software license tracking

+

mechanisms implementing and controlling the use of peer-to-peer files sharing technology

+ + + + Open-source Software + + + + + +

restrictions on the use of open-source software are defined;

+ + + + + + + + + + +

Establish the following restrictions on the use of open-source software: .

+ + +

Open-source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open-source software is that it provides organizations with the ability to examine the source code. In some cases, there is an online community associated with the software that inspects, tests, updates, and reports on issues found in software on an ongoing basis. However, remediating vulnerabilities in open-source software may be problematic. There may also be licensing issues associated with open-source software, including the constraints on derivative use of such software. Open-source software that is available only in binary form may increase the level of risk in using such software.

+ + + +

are established for the use of open-source software.

+ + + + + + +

Configuration management policy

+

software usage restrictions

+

software contract agreements and copyright laws

+

site license documentation

+

list of software usage restrictions

+

software license tracking reports

+

configuration management plan

+

system security plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel operating, using, and/or maintaining the system

+

organizational personnel with software license management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for tracking the use of software protected by quantity licenses

+

organizational processes for controlling/documenting the use of peer-to-peer file sharing technology

+

mechanisms implementing software license tracking

+

mechanisms implementing and controlling the use of peer-to-peer files sharing technology

+ + + + + + User-installed Software + + + + + +

policies governing the installation of software by users are defined;

+ + + + + + + +

methods used to enforce software installation policies are defined;

+ + + + + + + +

frequency with which to monitor compliance is defined;

+ + + + + + + + + + + + + + + + + + + + + +

Establish governing the installation of software by users;

+ + + +

Enforce software installation policies through the following methods: ; and

+ + + +

Monitor policy compliance .

+ + + +

If provided the necessary privileges, users can install software in organizational systems. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations include updates and security patches to existing software and downloading new applications from organization-approved app stores. Prohibited software installations include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. Policies selected for governing user-installed software are organization-developed or provided by some external entity. Policy enforcement methods can include procedural methods and automated methods.

+ + + + + +

governing the installation of software by users are established;

+ + + + +

software installation policies are enforced through ;

+ + + + +

compliance with is monitored .

+ + + + + + + + +

Configuration management policy

+

procedures addressing user-installed software

+

configuration management plan

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

list of rules governing user installed software

+

system monitoring records

+

system audit records

+

continuous monitoring strategy

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for governing user-installed software

+

organizational personnel operating, using, and/or maintaining the system

+

organizational personnel monitoring compliance with user-installed software policy

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes governing user-installed software on the system

+

mechanisms enforcing policies and methods for governing the installation of software by users

+

mechanisms monitoring policy compliance

+ + + + Alerts for Unauthorized Installations + + + + + + + + + Software Installation with Privileged Status + + + + + + + + + +

Allow user installation of software only with explicit privileged status.

+ + +

Privileged status can be obtained, for example, by serving in the role of system administrator.

+ + + +

user installation of software is allowed only with explicit privileged status.

+ + + + + + +

Configuration management policy

+

procedures addressing user-installed software

+

configuration management plan

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

alerts/notifications of unauthorized software installations

+

system audit records

+

continuous monitoring strategy

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for governing user-installed software

+

organizational personnel operating, using, and/or maintaining the system

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes governing user-installed software on the system

+

mechanisms for prohibiting installation of software without privileged status (e.g., access controls)

+ + + + + Automated Enforcement and Monitoring + + + + + + + + + +

automated mechanisms used to enforce compliance are defined;

+ + + + + + +

automated mechanisms used to monitor compliance are defined;

+ + + + + + + + + + +

Enforce and monitor compliance with software installation policies using .

+ + +

Organizations enforce and monitor compliance with software installation policies using automated mechanisms to more quickly detect and respond to unauthorized software installation which can be an indicator of an internal or external hostile attack.

+ + + + + +

compliance with software installation policies is enforced using ;

+ + + + +

compliance with software installation policies is monitored using .

+ + + + + + + + +

Configuration management policy

+

procedures addressing user-installed software

+

configuration management plan

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

list of rules governing user installed software

+

system monitoring records

+

system audit records

+

continuous monitoring strategy

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for governing user-installed software

+

organizational personnel operating, using, and/or maintaining the system

+

organizational personnel monitoring compliance with user-installed software policy

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes governing user-installed software on the system

+

automated mechanisms enforcing policies on installation of software by users

+

automated mechanisms monitoring policy compliance

+ + + + + + Information Location + + + + + +

information for which the location is to be identified and documented is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Identify and document the location of and the specific system components on which the information is processed and stored;

+ + + +

Identify and document the users who have access to the system and system components where the information is processed and stored; and

+ + + +

Document changes to the location (i.e., system or system components) where the information is processed and stored.

+ + + +

Information location addresses the need to understand where information is being processed and stored. Information location includes identifying where specific information types and information reside in system components and how information is being processed so that information flow can be understood and adequate protection and policy management provided for such information and system components. The security category of the information is also a factor in determining the controls necessary to protect the information and the system component where the information resides (see FIPS 199 ). The location of the information and system components is also a factor in the architecture and design of the system (see SA-4, SA-8, SA-17).

+ + + + + + + +

the location of is identified and documented;

+ + + + +

the specific system components on which is processed are identified and documented;

+ + + + +

the specific system components on which is stored are identified and documented;

+ + + + + + + + +

the users who have access to the system and system components where is processed are identified and documented;

+ + + + +

the users who have access to the system and system components where is stored are identified and documented;

+ + + + + + + + +

changes to the location (i.e., system or system components) where is processed are documented;

+ + + + +

changes to the location (i.e., system or system components) where is stored are documented.

+ + + + + + + + + + +

Configuration management policy

+

procedures addressing identification and documentation of information location

+

configuration management plan

+

system design documentation

+

system architecture documentation

+

PII inventory documentation

+

data mapping documentation

+

audit records

+

list of users with system and system component access

+

change control records

+

system component inventory

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for managing information location and user access to information

+

organizational personnel with responsibilities for operating, using, and/or maintaining the system

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes governing information location

+

mechanisms enforcing policies and methods for governing information location

+ + + + Automated Tools to Support Information Location + + + + + +

information to be protected is defined by information type;

+ + + + + + + +

system components where the information is located are defined;

+ + + + + + + + + + +

Use automated tools to identify on to ensure controls are in place to protect organizational information and individual privacy.

+ + +

The use of automated tools helps to increase the effectiveness and efficiency of the information location capability implemented within the system. Automation also helps organizations manage the data produced during information location activities and share such information across the organization. The output of automated information location tools can be used to guide and inform system architecture and design decisions.

+ + + +

automated tools are used to identify on to ensure that controls are in place to protect organizational information and individual privacy.

+ + + + + + +

Configuration management policy

+

procedures addressing identification and documentation of information location

+

configuration management plan

+

system design documentation

+

PII inventory documentation

+

data mapping documentation

+

change control records

+

system component inventory

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for managing information location

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes governing information location

+

automated mechanisms enforcing policies and methods for governing information location

+

automated tools used to identify information on system components

+ + + + + + Data Action Mapping + + + + + + + + + + + + + + + +

Develop and document a map of system data actions.

+ + +

Data actions are system operations that process personally identifiable information. The processing of such information encompasses the full information life cycle, which includes collection, generation, transformation, use, disclosure, retention, and disposal. A map of system data actions includes discrete data actions, elements of personally identifiable information being processed in the data actions, system components involved in the data actions, and the owners or operators of the system components. Understanding what personally identifiable information is being processed (e.g., the sensitivity of the personally identifiable information), how personally identifiable information is being processed (e.g., if the data action is visible to the individual or is processed in another part of the system), and by whom (e.g., individuals may have different privacy perceptions based on the entity that is processing the personally identifiable information) provides a number of contextual factors that are important to assessing the degree of privacy risk created by the system. Data maps can be illustrated in different ways, and the level of detail may vary based on the mission and business needs of the organization. The data map may be an overlay of any system design artifact that the organization is using. The development of this map may necessitate coordination between the privacy and security programs regarding the covered data actions and the components that are identified as part of the system.

+ + + +

a map of system data actions is developed and documented.

+ + + + + + +

Configuration management policy

+

procedures for identification and documentation of information location

+

procedures for mapping data actions

+

configuration management plan

+

system security plan

+

privacy plan

+

system design documentation

+

PII inventory documentation

+

data mapping documentation

+

change control records

+

system component inventory

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for managing information location

+

organizational personnel responsible for data action mapping

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes governing information location

+

mechanisms supporting or implementing data action mapping

+ + + + + Signed Components + + + + + + + + + +

software components requiring verification of a digitally signed certificate before installation are defined;

+ + + + + + +

firmware components requiring verification of a digitally signed certificate before installation are defined;

+ + + + + + + + + + + + + + + +

Prevent the installation of without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.

+ + +

Software and firmware components prevented from installation unless signed with recognized and approved certificates include software and firmware version updates, patches, service packs, device drivers, and basic input/output system updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures is a method of code authentication.

+ + + + + +

the installation of is prevented unless it is verified that the software has been digitally signed using a certificate recognized and approved by the organization;

+ + + + +

the installation of is prevented unless it is verified that the firmware has been digitally signed using a certificate recognized and approved by the organization.

+ + + + + + + + +

Configuration management policy

+

procedures addressing digitally signed certificates for software and firmware components

+

configuration management plan

+

system security plan

+

system design documentation

+

change control records

+

system component inventory

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for verifying digitally signed certificates for software and firmware component installation

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes governing information location

+

mechanisms enforcing policies and methods for governing information location

+

automated tools supporting or implementing digitally signatures for software and firmware components

+

automated tools supporting or implementing verification of digital signatures for software and firmware component installation

+ + + + + + Contingency Planning + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the contingency planning policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the contingency planning procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the contingency planning policy and procedures is defined;

+ + + + + + + +

the frequency at which the current contingency planning policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current contingency planning policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current contingency planning procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

contingency planning policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and

+ + + +

Review and update the current contingency planning:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Contingency planning policy and procedures address the controls in the CP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of contingency planning policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to contingency planning policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a contingency planning policy is developed and documented;

+ + + + +

the contingency planning policy is disseminated to ;

+ + + + +

contingency planning procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls are developed and documented;

+ + + + +

the contingency planning procedures are disseminated to ;

+ + + + + + + + +

the contingency planning policy addresses purpose;

+ + + + +

the contingency planning policy addresses scope;

+ + + + +

the contingency planning policy addresses roles;

+ + + + +

the contingency planning policy addresses responsibilities;

+ + + + +

the contingency planning policy addresses management commitment;

+ + + + +

the contingency planning policy addresses coordination among organizational entities;

+ + + + +

the contingency planning policy addresses compliance;

+ + + + + + +

the contingency planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the contingency planning policy and procedures;

+ + + + + + + + +

the current contingency planning policy is reviewed and updated ;

+ + + + +

the current contingency planning policy is reviewed and updated following ;

+ + + + + + + + +

the current contingency planning procedures are reviewed and updated ;

+ + + + +

the current contingency planning procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Contingency planning policy and procedures

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Contingency Plan + + + + + + + + + + + + + + + + + + + +

personnel or roles to review a contingency plan is/are defined;

+ + + + + + +

personnel or roles to approve a contingency plan is/are defined;

+ + + + + + +

key contingency personnel (identified by name and/or by role) to whom copies of the contingency plan are distributed are defined;

+ + + + + + +

key contingency organizational elements to which copies of the contingency plan are distributed are defined;

+ + + + + + + +

frequency of contingency plan review is defined;

+ + + + + + +

key contingency personnel (identified by name and/or by role) to communicate changes to are defined;

+ + + + + + +

key contingency organizational elements to communicate changes to are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Develop a contingency plan for the system that:

+ + +

Identifies essential mission and business functions and associated contingency requirements;

+ + + +

Provides recovery objectives, restoration priorities, and metrics;

+ + + +

Addresses contingency roles, responsibilities, assigned individuals with contact information;

+ + + +

Addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure;

+ + + +

Addresses eventual, full system restoration without deterioration of the controls originally planned and implemented;

+ + + +

Addresses the sharing of contingency information; and

+ + + +

Is reviewed and approved by ;

+ + + + +

Distribute copies of the contingency plan to ;

+ + + +

Coordinate contingency planning activities with incident handling activities;

+ + + +

Review the contingency plan for the system ;

+ + + +

Update the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;

+ + + +

Communicate contingency plan changes to ;

+ + + +

Incorporate lessons learned from contingency plan testing, training, or actual contingency activities into contingency testing and training; and

+ + + +

Protect the contingency plan from unauthorized disclosure and modification.

+ + + +

Contingency planning for systems is part of an overall program for achieving continuity of operations for organizational mission and business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. Contingency planning is considered throughout the system development life cycle and is a fundamental part of the system design. Systems can be designed for redundancy, to provide backup capabilities, and for resilience. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, organizational risk tolerance, and system impact level.

+

Actions addressed in contingency plans include orderly system degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations ensure that the necessary planning activities are in place and activated in the event of an incident. Organizations consider whether continuity of operations during an incident conflicts with the capability to automatically disable the system, as specified in IR-4(5) . Incident response planning is part of contingency planning for organizations and is addressed in the IR (Incident Response) family.

+ + + + + + + +

a contingency plan for the system is developed that identifies essential mission and business functions and associated contingency requirements;

+ + + + + + +

a contingency plan for the system is developed that provides recovery objectives;

+ + + + +

a contingency plan for the system is developed that provides restoration priorities;

+ + + + +

a contingency plan for the system is developed that provides metrics;

+ + + + + + + + +

a contingency plan for the system is developed that addresses contingency roles;

+ + + + +

a contingency plan for the system is developed that addresses contingency responsibilities;

+ + + + +

a contingency plan for the system is developed that addresses assigned individuals with contact information;

+ + + + + + +

a contingency plan for the system is developed that addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure;

+ + + + +

a contingency plan for the system is developed that addresses eventual, full-system restoration without deterioration of the controls originally planned and implemented;

+ + + + +

a contingency plan for the system is developed that addresses the sharing of contingency information;

+ + + + + + +

a contingency plan for the system is developed that is reviewed by ;

+ + + + +

a contingency plan for the system is developed that is approved by ;

+ + + + + + + + + + +

copies of the contingency plan are distributed to ;

+ + + + +

copies of the contingency plan are distributed to ;

+ + + + + + +

contingency planning activities are coordinated with incident handling activities;

+ + + + +

the contingency plan for the system is reviewed ;

+ + + + + + +

the contingency plan is updated to address changes to the organization, system, or environment of operation;

+ + + + +

the contingency plan is updated to address problems encountered during contingency plan implementation, execution, or testing;

+ + + + + + + + +

contingency plan changes are communicated to ;

+ + + + +

contingency plan changes are communicated to ;

+ + + + + + + + +

lessons learned from contingency plan testing or actual contingency activities are incorporated into contingency testing;

+ + + + +

lessons learned from contingency plan training or actual contingency activities are incorporated into contingency testing and training;

+ + + + + + + + +

the contingency plan is protected from unauthorized disclosure;

+ + + + +

the contingency plan is protected from unauthorized modification.

+ + + + + + + + + + +

Contingency planning policy

+

procedures addressing contingency operations for the system

+

contingency plan

+

evidence of contingency plan reviews and updates

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

organizational personnel with incident handling responsibilities

+

organizational personnel with knowledge of requirements for mission and business functions

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for contingency plan development, review, update, and protection

+

mechanisms for developing, reviewing, updating, and/or protecting the contingency plan

+ + + + Coordinate with Related Plans + + + + + + + +

Coordinate contingency plan development with organizational elements responsible for related plans.

+ + +

Plans that are related to contingency plans include Business Continuity Plans, Disaster Recovery Plans, Critical Infrastructure Plans, Continuity of Operations Plans, Crisis Communications Plans, Insider Threat Implementation Plans, Data Breach Response Plans, Cyber Incident Response Plans, Breach Response Plans, and Occupant Emergency Plans.

+ + + +

contingency plan development is coordinated with organizational elements responsible for related plans.

+ + + + + + +

Contingency planning policy

+

procedures addressing contingency operations for the system

+

contingency plan

+

business contingency plans

+

disaster recovery plans

+

continuity of operations plans

+

crisis communications plans

+

critical infrastructure plans

+

cyber incident response plan

+

insider threat implementation plans

+

occupant emergency plans

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

organizational personnel with information security responsibilities

+

personnel with responsibility for related plans

+ + + + + Capacity Planning + + + + + + + + + + + + + +

Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.

+ + +

Capacity planning is needed because different threats can result in a reduction of the available processing, telecommunications, and support services intended to support essential mission and business functions. Organizations anticipate degraded operations during contingency operations and factor the degradation into capacity planning. For capacity planning, environmental support refers to any environmental factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. Such determinations are based on an organizational assessment of risk, system categorization (impact level), and organizational risk tolerance.

+ + + + + +

capacity planning is conducted so that the necessary capacity exists during contingency operations for information processing;

+ + + + +

capacity planning is conducted so that the necessary capacity exists during contingency operations for telecommunications;

+ + + + +

capacity planning is conducted so that the necessary capacity exists during contingency operations for environmental support.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing contingency operations for the system

+

contingency plan

+

capacity planning documents

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

organizational personnel responsible for capacity planning

+

organizational personnel with information security responsibilities

+ + + + + Resume Mission and Business Functions + + + + + + + + + + +

the contingency plan activation time period within which to resume mission and business functions is defined;

+ + + + + + + + + +

Plan for the resumption of mission and business functions within of contingency plan activation.

+ + +

Organizations may choose to conduct contingency planning activities to resume mission and business functions as part of business continuity planning or as part of business impact analyses. Organizations prioritize the resumption of mission and business functions. The time period for resuming mission and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure.

+ + + +

the resumption of mission and business functions are planned for within of contingency plan activation.

+ + + + + + +

Contingency planning policy

+

procedures addressing contingency operations for the system

+

contingency plan

+

business impact assessment

+

system security plan

+

privacy plan

+

other related plans

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with knowledge of requirements for mission and business functions

+ + + + + + +

Organizational processes for resumption of missions and business functions

+ + + + + Resume All Mission and Business Functions + + + + + + + + + Continue Mission and Business Functions + + + + + + + + + + + + +

Plan for the continuance of mission and business functions with minimal or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites.

+ + +

Organizations may choose to conduct the contingency planning activities to continue mission and business functions as part of business continuity planning or business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency.

+ + + + + +

the continuance of mission and business functions with minimal or no loss of operational continuity is planned for;

+ + + + +

continuity is sustained until full system restoration at primary processing and/or storage sites.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing contingency operations for the system

+

contingency plan

+

business impact assessment

+

primary processing site agreements

+

primary storage site agreements

+

alternate processing site agreements

+

alternate storage site agreements

+

contingency plan test documentation

+

contingency plan test results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

organizational personnel with knowledge of requirements for mission and business functions

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for continuing missions and business functions

+ + + + + Alternate Processing and Storage Sites + + + + + + + + + + + + +

Plan for the transfer of mission and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity and sustain that continuity through system restoration to primary processing and/or storage sites.

+ + +

Organizations may choose to conduct contingency planning activities for alternate processing and storage sites as part of business continuity planning or business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency.

+ + + + + +

the transfer of mission and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity is planned for;

+ + + + +

operational continuity is sustained until full system restoration at primary processing and/or storage sites.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing contingency operations for the system

+

contingency plan

+

business impact assessment

+

alternate processing site agreements

+

alternate storage site agreements

+

contingency plan testing documentation

+

contingency plan test results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

organizational personnel with knowledge of requirements for mission and business functions

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for transfer of essential mission and business functions to alternate processing/storage sites

+ + + + + Coordinate with External Service Providers + + + + + + + + +

Coordinate the contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.

+ + +

When the capability of an organization to carry out its mission and business functions is dependent on external service providers, developing a comprehensive and timely contingency plan may become more challenging. When mission and business functions are dependent on external service providers, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.

+ + + +

the contingency plan is coordinated with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.

+ + + + + + +

Contingency planning policy

+

procedures addressing contingency operations for the system

+

contingency plan

+

contingency plans of external

+

service providers

+

service level agreements

+

contingency plan requirements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

external service providers

+

organizational personnel with information security responsibilities

+ + + + + Identify Critical Assets + + + + + + + + + + + + + + +

Identify critical system assets supporting mission and business functions.

+ + +

Organizations may choose to identify critical assets as part of criticality analysis, business continuity planning, or business impact analyses. Organizations identify critical system assets so that additional controls can be employed (beyond the controls routinely implemented) to help ensure that organizational mission and business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include technical and operational aspects. Technical aspects include system components, information technology services, information technology products, and mechanisms. Operational aspects include procedures (i.e., manually executed operations) and personnel (i.e., individuals operating technical controls and/or executing manual procedures). Organizational program protection plans can assist in identifying critical assets. If critical assets are resident within or supported by external service providers, organizations consider implementing CP-2(7) as a control enhancement.

+ + + +

critical system assets supporting mission and business functions are identified.

+ + + + + + +

Contingency planning policy

+

procedures addressing contingency operations for the system

+

contingency plan

+

business impact assessment

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

organizational personnel with knowledge of requirements for mission and business functions

+

organizational personnel with information security responsibilities

+ + + + + + Contingency Training + + + + + +

the time period within which to provide contingency training after assuming a contingency role or responsibility is defined;

+ + + + + + + +

frequency at which to provide training to system users with a contingency role or responsibility is defined;

+ + + + + + + +

frequency at which to review and update contingency training content is defined;

+ + + + + + + +

events necessitating review and update of contingency training are defined;

+ + + + + + + + + + + + + + + + + + + + + +

Provide contingency training to system users consistent with assigned roles and responsibilities:

+ + +

Within of assuming a contingency role or responsibility;

+ + + +

When required by system changes; and

+ + + +

thereafter; and

+ + + + +

Review and update contingency training content and following .

+ + + +

Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, some individuals may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to establish systems at alternate processing and storage sites; and organizational officials may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles or responsibilities reflects the specific continuity requirements in the contingency plan. Events that may precipitate an update to contingency training content include, but are not limited to, contingency plan testing or an actual contingency (lessons learned), assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. At the discretion of the organization, participation in a contingency plan test or exercise, including lessons learned sessions subsequent to the test or exercise, may satisfy contingency plan training requirements.

+ + + + + + + +

contingency training is provided to system users consistent with assigned roles and responsibilities within of assuming a contingency role or responsibility;

+ + + + +

contingency training is provided to system users consistent with assigned roles and responsibilities when required by system changes;

+ + + + +

contingency training is provided to system users consistent with assigned roles and responsibilities thereafter;

+ + + + + + + + +

the contingency plan training content is reviewed and updated ;

+ + + + +

the contingency plan training content is reviewed and updated following .

+ + + + + + + + + + +

Contingency planning policy

+

procedures addressing contingency training

+

contingency plan

+

contingency training curriculum

+

contingency training material

+

contingency training records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning, plan implementation, and training responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for contingency training

+ + + + Simulated Events + + + + + + + + +

Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.

+ + +

The use of simulated events creates an environment for personnel to experience actual threat events, including cyber-attacks that disable websites, ransomware attacks that encrypt organizational data on servers, hurricanes that damage or destroy organizational facilities, or hardware or software failures.

+ + + +

simulated events are incorporated into contingency training to facilitate effective response by personnel in crisis situations.

+ + + + + + +

Contingency planning policy

+

procedures addressing contingency training

+

contingency plan

+

contingency training curriculum

+

contingency training material

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning, plan implementation, and training responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for contingency training

+

mechanisms for simulating contingency events

+ + + + + Mechanisms Used in Training Environments + + + + + + + + +

Employ mechanisms used in operations to provide a more thorough and realistic contingency training environment.

+ + +

Operational mechanisms refer to processes that have been established to accomplish an organizational goal or a system that supports a particular organizational mission or business objective. Actual mission and business processes, systems, and/or facilities may be used to generate simulated events and enhance the realism of simulated events during contingency training.

+ + + +

mechanisms used in operations are employed to provide a more thorough and realistic contingency training environment.

+ + + + + + +

Contingency planning policy

+

procedures addressing contingency training

+

contingency plan

+

contingency training curriculum

+

contingency training material

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning, plan implementation, and training responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for contingency training

+

mechanisms for providing contingency training environments

+ + + + + + Contingency Plan Testing + + + + + + + + + + +

frequency of testing the contingency plan for the system is defined;

+ + + + + + +

tests for determining the effectiveness of the contingency plan are defined;

+ + + + + + +

tests for determining readiness to execute the contingency plan are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + +

Test the contingency plan for the system using the following tests to determine the effectiveness of the plan and the readiness to execute the plan: .

+ + + +

Review the contingency plan test results; and

+ + + +

Initiate corrective actions, if needed.

+ + + +

Methods for testing contingency plans to determine the effectiveness of the plans and identify potential weaknesses include checklists, walk-through and tabletop exercises, simulations (parallel or full interrupt), and comprehensive exercises. Organizations conduct testing based on the requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.

+ + + + + + + +

the contingency plan for the system is tested ;

+ + + + +

are used to determine the effectiveness of the plan;

+ + + + +

are used to determine the readiness to execute the plan;

+ + + + + + +

the contingency plan test results are reviewed;

+ + + + +

corrective actions are initiated, if needed.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing contingency plan testing

+

contingency plan

+

contingency plan test documentation

+

contingency plan test results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for contingency plan testing

+

mechanisms supporting the contingency plan and/or contingency plan testing

+ + + + Coordinate with Related Plans + + + + + + + + + + +

Coordinate contingency plan testing with organizational elements responsible for related plans.

+ + +

Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. However, it does require that if such organizational elements are responsible for related plans, organizations coordinate with those elements.

+ + + +

contingency plan testing is coordinated with organizational elements responsible for related plans.

+ + + + + + +

Contingency planning policy

+

incident response policy

+

procedures addressing contingency plan testing

+

contingency plan testing documentation

+

contingency plan

+

business continuity plans

+

disaster recovery plans

+

continuity of operations plans

+

crisis communications plans

+

critical infrastructure plans

+

cyber incident response plans

+

occupant emergency plans

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan testing responsibilities

+

personnel with responsibilities for related plans

+

organizational personnel with information security responsibilities

+ + + + + Alternate Processing Site + + + + + + + + + +

Test the contingency plan at the alternate processing site:

+ + +

To familiarize contingency personnel with the facility and available resources; and

+ + + +

To evaluate the capabilities of the alternate processing site to support contingency operations.

+ + + +

Conditions at the alternate processing site may be significantly different than the conditions at the primary site. Having the opportunity to visit the alternate site and experience the actual capabilities available at the site can provide valuable information on potential vulnerabilities that could affect essential organizational mission and business functions. The on-site visit can also provide an opportunity to refine the contingency plan to address the vulnerabilities discovered during testing.

+ + + + + +

the contingency plan is tested at the alternate processing site to familiarize contingency personnel with the facility and available resources;

+ + + + +

the contingency plan is tested at the alternate processing site to evaluate the capabilities of the alternate processing site to support contingency operations.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing contingency plan testing

+

contingency plan

+

contingency plan test documentation

+

contingency plan test results

+

alternate processing site agreements

+

service-level agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for contingency plan testing

+

mechanisms supporting the contingency plan and/or contingency plan testing

+ + + + + Automated Testing + + + + + +

automated mechanisms for contingency plan testing are defined;

+ + + + + + + + + + +

Test the contingency plan using .

+ + +

Automated mechanisms facilitate thorough and effective testing of contingency plans by providing more complete coverage of contingency issues, selecting more realistic test scenarios and environments, and effectively stressing the system and supported mission and business functions.

+ + + +

the contingency plan is tested using .

+ + + + + + +

Contingency planning policy

+

procedures addressing contingency plan testing

+

contingency plan

+

automated mechanisms supporting contingency plan testing

+

contingency plan test documentation

+

contingency plan test results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan testing responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for contingency plan testing

+

automated mechanisms supporting contingency plan testing

+ + + + + Full Recovery and Reconstitution + + + + + + + + + + +

Include a full recovery and reconstitution of the system to a known state as part of contingency plan testing.

+ + +

Recovery is executing contingency plan activities to restore organizational mission and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Organizations establish a known state for systems that includes system state information for hardware, software programs, and data. Preserving system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission and business processes.

+ + + + + +

a full recovery of the system to a known state is included as part of contingency plan testing;

+ + + + +

a full reconstitution of the system to a known state is included as part of contingency plan testing.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing system recovery and reconstitution

+

contingency plan

+

contingency plan test documentation

+

contingency plan test results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan testing responsibilities

+

organizational personnel with system recovery and reconstitution responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for contingency plan testing

+

mechanisms supporting contingency plan testing

+

mechanisms supporting recovery and reconstitution of the system

+ + + + + Self-challenge + + + + + +

mechanisms employed to disrupt and adversely affect the system or system component are defined;

+ + + + + + + +

system or system component on which to apply disruption mechanisms are defined;

+ + + + + + + + + + + +

Employ to to disrupt and adversely affect the system or system component.

+ + +

Often, the best method of assessing system resilience is to disrupt the system in some manner. The mechanisms used by the organization could disrupt system functions or system services in many ways, including terminating or disabling critical system components, changing the configuration of system components, degrading critical functionality (e.g., restricting network bandwidth), or altering privileges. Automated, on-going, and simulated cyber-attacks and service disruptions can reveal unexpected functional dependencies and help the organization determine its ability to ensure resilience in the face of an actual cyber-attack.

+ + + +

are employed to disrupt and adversely affect the .

+ + + + + + +

Contingency planning policy

+

procedures addressing system recovery and reconstitution

+

contingency plan

+

contingency plan test documentation

+

contingency plan test results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan testing responsibilities

+

organizational personnel with system recovery and reconstitution responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for contingency plan testing

+

mechanisms supporting contingency plan testing

+ + + + + + Contingency Plan Update + + + + + + + + + Alternate Storage Site + + + + + + + + + + + + + + + + + + + +

Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and

+ + + +

Ensure that the alternate storage site provides controls equivalent to that of the primary site.

+ + + +

Alternate storage sites are geographically distinct from primary storage sites and maintain duplicate copies of information and data if the primary storage site is not available. Similarly, alternate processing sites provide processing capability if the primary processing site is not available. Geographically distributed architectures that support contingency requirements may be considered alternate storage sites. Items covered by alternate storage site agreements include environmental conditions at the alternate sites, access rules for systems and facilities, physical and environmental protection requirements, and coordination of delivery and retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential mission and business functions despite compromise, failure, or disruption in organizational systems.

+ + + + + + + +

an alternate storage site is established;

+ + + + +

establishment of the alternate storage site includes necessary agreements to permit the storage and retrieval of system backup information;

+ + + + + + +

the alternate storage site provides controls equivalent to that of the primary site.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing alternate storage sites

+

contingency plan

+

alternate storage site agreements

+

primary storage site agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan alternate storage site responsibilities

+

organizational personnel with system recovery responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for storing and retrieving system backup information at the alternate storage site

+

mechanisms supporting and/or implementing the storage and retrieval of system backup information at the alternate storage site

+ + + + Separation from Primary Site + + + + + + + + +

Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats.

+ + +

Threats that affect alternate storage sites are defined in organizational risk assessments and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.

+ + + +

an alternate storage site that is sufficiently separated from the primary storage site is identified to reduce susceptibility to the same threats.

+ + + + + + +

Contingency planning policy

+

procedures addressing alternate storage sites

+

contingency plan

+

alternate storage site

+

alternate storage site agreements

+

primary storage site agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan alternate storage site responsibilities

+

organizational personnel with system recovery responsibilities

+

organizational personnel with information security responsibilities

+ + + + + Recovery Time and Recovery Point Objectives + + + + + + + +

Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.

+ + +

Organizations establish recovery time and recovery point objectives as part of contingency planning. Configuration of the alternate storage site includes physical facilities and the systems supporting recovery operations that ensure accessibility and correct execution.

+ + + + + +

the alternate storage site is configured to facilitate recovery operations in accordance with recovery time objectives;

+ + + + +

the alternate storage site is configured to facilitate recovery operations in accordance with recovery point objectives.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing alternate storage sites

+

contingency plan

+

alternate storage site

+

alternate storage site agreements

+

alternate storage site configurations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan testing responsibilities

+

organizational personnel with responsibilities for testing related plans

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for contingency plan testing

+

mechanisms supporting recovery time and point objectives

+ + + + + Accessibility + + + + + + + + +

Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions.

+ + +

Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.

+ + + + + +

potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster are identified;

+ + + + +

explicit mitigation actions to address identified accessibility problems are outlined.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing alternate storage sites

+

contingency plan

+

alternate storage site

+

list of potential accessibility problems to alternate storage site

+

mitigation actions for accessibility problems to alternate storage site

+

organizational risk assessments

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan alternate storage site responsibilities

+

organizational personnel with system recovery responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + Alternate Processing Site + + + + + +

system operations for essential mission and business functions are defined;

+ + + + + + + + +

time period consistent with recovery time and recovery point objectives is defined;

+ + + + + + + + + + + + + + + + + + + + + + + +

Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of for essential mission and business functions within when the primary processing capabilities are unavailable;

+ + + +

Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time period for transfer and resumption; and

+ + + +

Provide controls at the alternate processing site that are equivalent to those at the primary site.

+ + + +

Alternate processing sites are geographically distinct from primary processing sites and provide processing capability if the primary processing site is not available. The alternate processing capability may be addressed using a physical processing site or other alternatives, such as failover to a cloud-based service provider or other internally or externally provided processing service. Geographically distributed architectures that support contingency requirements may also be considered alternate processing sites. Controls that are covered by alternate processing site agreements include the environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and the coordination for the transfer and assignment of personnel. Requirements are allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential mission and business functions despite disruption, compromise, or failure in organizational systems.

+ + + + + +

an alternate processing site, including necessary agreements to permit the transfer and resumption of for essential mission and business functions, is established within when the primary processing capabilities are unavailable;

+ + + + + + +

the equipment and supplies required to transfer operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within for transfer;

+ + + + +

the equipment and supplies required to resume operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within for resumption;

+ + + + + + +

controls provided at the alternate processing site are equivalent to those at the primary site.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing alternate processing sites

+

contingency plan

+

alternate processing site agreements

+

primary processing site agreements

+

spare equipment and supplies inventory at alternate processing site

+

equipment and supply contracts

+

service-level agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for recovery at the alternate site

+

mechanisms supporting and/or implementing recovery at the alternate processing site

+ + + + Separation from Primary Site + + + + + + + + +

Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats.

+ + +

Threats that affect alternate processing sites are defined in organizational assessments of risk and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.

+ + + +

an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats is identified.

+ + + + + + +

Contingency planning policy

+

procedures addressing alternate processing sites

+

contingency plan

+

alternate processing site

+

alternate processing site agreements

+

primary processing site agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan alternate processing site responsibilities

+

organizational personnel with system recovery responsibilities

+

organizational personnel with information security responsibilities

+ + + + + Accessibility + + + + + + + + +

Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.

+ + +

Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk.

+ + + + + +

potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster are identified;

+ + + + +

explicit mitigation actions to address identified accessibility problems are outlined.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing alternate processing sites

+

contingency plan

+

alternate processing site

+

alternate processing site agreements

+

primary processing site agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan alternate processing site responsibilities

+

organizational personnel with system recovery responsibilities

+

organizational personnel with information security responsibilities

+ + + + + Priority of Service + + + + + + + +

Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives).

+ + +

Priority of service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources for logical alternate processing and/or at the physical alternate processing site. Organizations establish recovery time objectives as part of contingency planning.

+ + + +

alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed.

+ + + + + + +

Contingency planning policy

+

procedures addressing alternate processing sites

+

contingency plan

+

alternate processing site agreements

+

service-level agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan alternate processing site responsibilities

+

organizational personnel with system recovery responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibility for acquisitions/contractual agreements

+ + + + + Preparation for Use + + + + + + + + + + +

Prepare the alternate processing site so that the site can serve as the operational site supporting essential mission and business functions.

+ + +

Site preparation includes establishing configuration settings for systems at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and logistical considerations are in place.

+ + + +

the alternate processing site is prepared so that the site can serve as the operational site supporting essential mission and business functions.

+ + + + + + +

Contingency planning policy

+

procedures addressing alternate processing sites

+

contingency plan

+

alternate processing site

+

alternate processing site agreements

+

alternate processing site configurations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan alternate processing site responsibilities

+

organizational personnel with system recovery responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing recovery at the alternate processing site

+ + + + + Equivalent Information Security Safeguards + + + + + + + + + Inability to Return to Primary Site + + + + + + + +

Plan and prepare for circumstances that preclude returning to the primary processing site.

+ + +

There may be situations that preclude an organization from returning to the primary processing site such as if a natural disaster (e.g., flood or a hurricane) damaged or destroyed a facility and it was determined that rebuilding in the same location was not prudent.

+ + + + + +

circumstances that preclude returning to the primary processing site are planned for;

+ + + + +

circumstances that preclude returning to the primary processing site are prepared for.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing alternate processing sites

+

contingency plan

+

alternate processing site

+

alternate processing site agreements

+

alternate processing site configurations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system reconstitution responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + Telecommunications Services + + + + + +

system operations to be resumed for essential mission and business functions are defined;

+ + + + + + + +

time period within which to resume essential mission and business functions when the primary telecommunications capabilities are unavailable is defined;

+ + + + + + + + + + + + + + +

Establish alternate telecommunications services, including necessary agreements to permit the resumption of for essential mission and business functions within when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

+ + +

Telecommunications services (for data and voice) for primary and alternate processing and storage sites are in scope for CP-8 . Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential mission and business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary or alternate sites. Alternate telecommunications services include additional organizational or commercial ground-based circuits or lines, network-based approaches to telecommunications, or the use of satellites. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.

+ + + +

alternate telecommunications services, including necessary agreements to permit the resumption of , are established for essential mission and business functions within when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

+ + + + + + +

Contingency planning policy

+

procedures addressing alternate telecommunications services

+

contingency plan

+

primary and alternate telecommunications service agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan telecommunications responsibilities

+

organizational personnel with system recovery responsibilities

+

organizational personnel with knowledge of requirements for mission and business functions

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibility for acquisitions/contractual agreements

+ + + + + + +

Mechanisms supporting telecommunications

+ + + + Priority of Service Provisions + + + + + + + + + +

Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and

+ + + +

Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier.

+ + + +

Organizations consider the potential mission or business impact in situations where telecommunications service providers are servicing other organizations with similar priority of service provisions. Telecommunications Service Priority (TSP) is a Federal Communications Commission (FCC) program that directs telecommunications service providers (e.g., wireline and wireless phone companies) to give preferential treatment to users enrolled in the program when they need to add new lines or have their lines restored following a disruption of service, regardless of the cause. The FCC sets the rules and policies for the TSP program, and the Department of Homeland Security manages the TSP program. The TSP program is always in effect and not contingent on a major disaster or attack taking place. Federal sponsorship is required to enroll in the TSP program.

+ + + + + + + +

primary telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed;

+ + + + +

alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed;

+ + + + + + +

Telecommunications Service Priority is requested for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing primary and alternate telecommunications services

+

contingency plan

+

primary and alternate telecommunications service agreements

+

Telecommunications Service Priority documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan telecommunications responsibilities

+

organizational personnel with system recovery responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibility for acquisitions/contractual agreements

+ + + + + + +

Mechanisms supporting telecommunications

+ + + + + Single Points of Failure + + + + + + + +

Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.

+ + +

In certain circumstances, telecommunications service providers or services may share the same physical lines, which increases the vulnerability of a single failure point. It is important to have provider transparency for the actual physical transmission capability for telecommunication services.

+ + + +

alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services are obtained.

+ + + + + + +

Contingency planning policy

+

procedures addressing primary and alternate telecommunications services

+

contingency plan

+

primary and alternate telecommunications service agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan telecommunications responsibilities

+

organizational personnel with system recovery responsibilities

+

primary and alternate telecommunications service providers

+

organizational personnel with information security responsibilities

+ + + + + Separation of Primary and Alternate Providers + + + + + + + +

Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

+ + +

Threats that affect telecommunications services are defined in organizational assessments of risk and include natural disasters, structural failures, cyber or physical attacks, and errors of omission or commission. Organizations can reduce common susceptibilities by minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services that meet the separation needs addressed in the risk assessment.

+ + + +

alternate telecommunications services from providers that are separated from primary service providers are obtained to reduce susceptibility to the same threats.

+ + + + + + +

Contingency planning policy

+

procedures addressing primary and alternate telecommunications services

+

contingency plan

+

primary and alternate telecommunications service agreements

+

alternate telecommunications service provider site

+

primary telecommunications service provider site

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency plan telecommunications responsibilities

+

organizational personnel with system recovery responsibilities

+

primary and alternate telecommunications service providers

+

organizational personnel with information security responsibilities

+ + + + + Provider Contingency Plan + + + + + + + + + +

frequency at which to obtain evidence of contingency testing by providers is defined;

+ + + + + + +

frequency at which to obtain evidence of contingency training by providers is defined;

+ + + + + + + + + + + + + +

Require primary and alternate telecommunications service providers to have contingency plans;

+ + + +

Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and

+ + + +

Obtain evidence of contingency testing and training by providers .

+ + + +

Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security and state and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.

+ + + + + + + +

primary telecommunications service providers are required to have contingency plans;

+ + + + +

alternate telecommunications service providers are required to have contingency plans;

+ + + + + + +

provider contingency plans are reviewed to ensure that the plans meet organizational contingency requirements;

+ + + + + + +

evidence of contingency testing by providers is obtained .

+ + + + +

evidence of contingency training by providers is obtained .

+ + + + + + + + + + +

Contingency planning policy

+

procedures addressing primary and alternate telecommunications services

+

contingency plan

+

provider contingency plans

+

evidence of contingency testing/training by providers

+

primary and alternate telecommunications service agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning, plan implementation, and testing responsibilities

+

primary and alternate telecommunications service providers

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibility for acquisitions/contractual agreements

+ + + + + Alternate Telecommunication Service Testing + + + + + +

frequency at which alternate telecommunications services are tested is defined;

+ + + + + + + + + + +

Test alternate telecommunication services .

+ + +

Alternate telecommunications services testing is arranged through contractual agreements with service providers. The testing may occur in parallel with normal operations to ensure that there is no degradation in organizational missions or functions.

+ + + +

alternate telecommunications services are tested .

+ + + + + + +

Contingency planning policy

+

procedures addressing alternate telecommunications services

+

contingency plan

+

evidence of testing alternate telecommunications services

+

alternate telecommunications service agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning, plan implementation, and testing responsibilities

+

alternate telecommunications service providers

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting testing alternate telecommunications services

+ + + + + + System Backup + + + + + +

system components for which to conduct backups of user-level information is defined;

+ + + + + + + + +

frequency at which to conduct backups of user-level information consistent with recovery time and recovery point objectives is defined;

+ + + + + + + + +

frequency at which to conduct backups of system-level information consistent with recovery time and recovery point objectives is defined;

+ + + + + + + + +

frequency at which to conduct backups of system documentation consistent with recovery time and recovery point objectives is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + +

Conduct backups of user-level information contained in ;

+ + + +

Conduct backups of system-level information contained in the system ;

+ + + +

Conduct backups of system documentation, including security- and privacy-related documentation ; and

+ + + +

Protect the confidentiality, integrity, and availability of backup information.

+ + + +

System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of system backup information while in transit is addressed by MP-5 and SC-8 . System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.

+ + + + + +

backups of user-level information contained in are conducted ;

+ + + + +

backups of system-level information contained in the system are conducted ;

+ + + + +

backups of system documentation, including security- and privacy-related documentation are conducted ;

+ + + + + + +

the confidentiality of backup information is protected;

+ + + + +

the integrity of backup information is protected;

+ + + + +

the availability of backup information is protected.

+ + + + + + + + + + +

Contingency planning policy

+

procedures addressing system backup

+

contingency plan

+

backup storage location(s)

+

system backup logs or records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system backup responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for conducting system backups

+

mechanisms supporting and/or implementing system backups

+ + + + Testing for Reliability and Integrity + + + + + + + + + +

frequency at which to test backup information for media reliability is defined;

+ + + + + + +

frequency at which to test backup information for information integrity is defined;

+ + + + + + + + + + +

Test backup information to verify media reliability and information integrity.

+ + +

Organizations need assurance that backup information can be reliably retrieved. Reliability pertains to the systems and system components where the backup information is stored, the operations used to retrieve the information, and the integrity of the information being retrieved. Independent and specialized tests can be used for each of the aspects of reliability. For example, decrypting and transporting (or transmitting) a random sample of backup files from the alternate storage or backup site and comparing the information to the same information at the primary processing site can provide such assurance.

+ + + + + +

backup information is tested to verify media reliability;

+ + + + +

backup information is tested to verify information integrity.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing system backup

+

contingency plan

+

system backup test results

+

contingency plan test documentation

+

contingency plan test results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system backup responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for conducting system backups

+

mechanisms supporting and/or implementing system backups

+ + + + + Test Restoration Using Sampling + + + + + + + + +

Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing.

+ + +

Organizations need assurance that system functions can be restored correctly and can support established organizational missions. To ensure that the selected system functions are thoroughly exercised during contingency plan testing, a sample of backup information is retrieved to determine whether the functions are operating as intended. Organizations can determine the sample size for the functions and backup information based on the level of assurance needed.

+ + + +

a sample of backup information in the restoration of selected system functions is used as part of contingency plan testing.

+ + + + + + +

Contingency planning policy

+

procedures addressing system backup

+

contingency plan

+

system backup test results

+

contingency plan test documentation

+

contingency plan test results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system backup responsibilities

+

organizational personnel with contingency planning/contingency plan testing responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for conducting system backups

+

mechanisms supporting and/or implementing system backups

+ + + + + Separate Storage for Critical Information + + + + + +

critical system software and other security-related information backups to be stored in a separate facility are defined;

+ + + + + + + + + + + + +

Store backup copies of in a separate facility or in a fire rated container that is not collocated with the operational system.

+ + +

Separate storage for critical information applies to all critical information regardless of the type of backup storage media. Critical system software includes operating systems, middleware, cryptographic key management systems, and intrusion detection systems. Security-related information includes inventories of system hardware, software, and firmware components. Alternate storage sites, including geographically distributed architectures, serve as separate storage facilities for organizations. Organizations may provide separate storage by implementing automated backup processes at alternative storage sites (e.g., data centers). The General Services Administration (GSA) establishes standards and specifications for security and fire rated containers.

+ + + +

backup copies of are stored in a separate facility or in a fire rated container that is not collocated with the operational system.

+ + + + + + +

Contingency planning policy

+

procedures addressing system backup

+

contingency plan

+

backup storage location(s)

+

system backup configurations and associated documentation

+

system backup logs or records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

organizational personnel with system backup responsibilities

+

organizational personnel with information security responsibilities

+ + + + + Protection from Unauthorized Modification + + + + + + + + + Transfer to Alternate Storage Site + + + + + + + + + +

time period consistent with recovery time and recovery point objectives is defined;

+ + + + + + +

transfer rate consistent with recovery time and recovery point objectives is defined;

+ + + + + + + + + + + + + +

Transfer system backup information to the alternate storage site .

+ + +

System backup information can be transferred to alternate storage sites either electronically or by the physical shipment of storage media.

+ + + + + +

system backup information is transferred to the alternate storage site for ;

+ + + + +

system backup information is transferred to the alternate storage site .

+ + + + + + + + +

Contingency planning policy

+

procedures addressing system backup

+

contingency plan

+

system backup logs or records

+

evidence of system backup information transferred to alternate storage site

+

alternate storage site agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system backup responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for transferring system backups to the alternate storage site

+

mechanisms supporting and/or implementing system backups

+

mechanisms supporting and/or implementing information transfer to the alternate storage site

+ + + + + Redundant Secondary System + + + + + + + + +

Conduct system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.

+ + +

The effect of system backup can be achieved by maintaining a redundant secondary system that mirrors the primary system, including the replication of information. If this type of redundancy is in place and there is sufficient geographic separation between the two systems, the secondary system can also serve as the alternate processing site.

+ + + + + +

system backup is conducted by maintaining a redundant secondary system that is not collocated with the primary system;

+ + + + +

system backup is conducted by maintaining a redundant secondary system that can be activated without loss of information or disruption to operations.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing system backup

+

contingency plan

+

system backup test results

+

contingency plan test results

+

contingency plan test documentation

+

redundant secondary system for system backups

+

location(s) of redundant secondary backup system(s)

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system backup responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibility for the redundant secondary system

+ + + + + + +

Organizational processes for maintaining redundant secondary systems

+

mechanisms supporting and/or implementing system backups

+

mechanisms supporting and/or implementing information transfer to a redundant secondary system

+ + + + + Dual Authorization for Deletion or Destruction + + + + + +

backup information for which to enforce dual authorization in order to delete or destroy is defined;

+ + + + + + + + + + + + +

Enforce dual authorization for the deletion or destruction of .

+ + +

Dual authorization ensures that deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting or destroying backup information possess the skills or expertise to determine if the proposed deletion or destruction of information reflects organizational policies and procedures. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals.

+ + + +

dual authorization for the deletion or destruction of is enforced.

+ + + + + + +

Contingency planning policy

+

procedures addressing system backup

+

contingency plan

+

system design documentation

+

system configuration settings and associated documentation

+

system generated list of dual authorization credentials or rules

+

logs or records of deletion or destruction of backup information

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system backup responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing dual authorization

+

mechanisms supporting and/or implementing the deletion/destruction of backup information

+ + + + + Cryptographic Protection + + + + + +

backup information to protect against unauthorized disclosure and modification is defined;

+ + + + + + + + + + + + +

Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of .

+ + +

The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanisms selected is commensurate with the security category or classification of the information. Cryptographic protection applies to system backup information in storage at both primary and alternate locations. Organizations that implement cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.

+ + + +

cryptographic mechanisms are implemented to prevent unauthorized disclosure and modification of .

+ + + + + + +

Contingency planning policy

+

procedures addressing system backup

+

contingency plan

+

system design documentation

+

system configuration settings and associated documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system backup responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing cryptographic protection of backup information

+ + + + + + System Recovery and Reconstitution + + + + + + + + + +

time period consistent with recovery time and recovery point objectives for the recovery of the system is determined;

+ + + + + + +

time period consistent with recovery time and recovery point objectives for the reconstitution of the system is determined;

+ + + + + + + + + + + + + + + + + + +

Provide for the recovery and reconstitution of the system to a known state within after a disruption, compromise, or failure.

+ + +

Recovery is executing contingency plan activities to restore organizational mission and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities; recovery point, recovery time, and reconstitution objectives; and organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of interim system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorization (if required), and activities to prepare the system and organization for future disruptions, breaches, compromises, or failures. Recovery and reconstitution capabilities can include automated mechanisms and manual procedures. Organizations establish recovery time and recovery point objectives as part of contingency planning.

+ + + + + +

the recovery of the system to a known state is provided within after a disruption, compromise, or failure;

+ + + + +

a reconstitution of the system to a known state is provided within after a disruption, compromise, or failure.

+ + + + + + + + +

Contingency planning policy

+

procedures addressing system backup

+

contingency plan

+

system backup test results

+

contingency plan test results

+

contingency plan test documentation

+

redundant secondary system for system backups

+

location(s) of redundant secondary backup system(s)

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes implementing system recovery and reconstitution operations

+

mechanisms supporting and/or implementing system recovery and reconstitution operations

+ + + + Contingency Plan Testing + + + + + + + + + Transaction Recovery + + + + + + + +

Implement transaction recovery for systems that are transaction-based.

+ + +

Transaction-based systems include database management systems and transaction processing systems. Mechanisms supporting transaction recovery include transaction rollback and transaction journaling.

+ + + +

transaction recovery is implemented for systems that are transaction-based.

+ + + + + + +

Contingency planning policy

+

procedures addressing system recovery and reconstitution

+

contingency plan

+

system design documentation

+

system configuration settings and associated documentation

+

contingency plan test documentation

+

contingency plan test results

+

system transaction recovery records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibility for transaction recovery

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing transaction recovery capability

+ + + + + Compensating Security Controls + + + + + + +

Addressed through tailoring.

+ + + + Restore Within Time Period + + + + + +

restoration time period within which to restore system components to a known, operational state is defined;

+ + + + + + + + + + + +

Provide the capability to restore system components within from configuration-controlled and integrity-protected information representing a known, operational state for the components.

+ + +

Restoration of system components includes reimaging, which restores the components to known, operational states.

+ + + +

the capability to restore system components within from configuration-controlled and integrity-protected information representing a known, operational state for the components is provided.

+ + + + + + +

Contingency planning policy

+

procedures addressing system recovery and reconstitution

+

contingency plan

+

system design documentation

+

system configuration settings and associated documentation

+

contingency plan test documentation

+

contingency plan test results

+

evidence of system recovery and reconstitution operations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system recovery and reconstitution responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the recovery/reconstitution of system information

+ + + + + Failover Capability + + + + + + + + + Component Protection + + + + + + + + + + + + + +

Protect system components used for recovery and reconstitution.

+ + +

Protection of system recovery and reconstitution components (i.e., hardware, firmware, and software) includes physical and technical controls. Backup and restoration components used for recovery and reconstitution include router tables, compilers, and other system software.

+ + + +

system components used for recovery and reconstitution are protected.

+ + + + + + +

Contingency planning policy

+

procedures addressing system recovery and reconstitution

+

contingency plan

+

system design documentation

+

system configuration settings and associated documentation

+

logical access credentials

+

physical access credentials

+

logical access authorization records

+

physical access authorization records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system recovery and reconstitution responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for protecting backup and restoration of hardware, firmware, and software

+

mechanisms supporting and/or implementing protection of backups and restoration of hardware, firmware, and software

+ + + + + + Alternate Communications Protocols + + + + + +

alternative communications protocols in support of maintaining continuity of operations are defined;

+ + + + + + + + + + + +

Provide the capability to employ in support of maintaining continuity of operations.

+ + +

Contingency plans and the contingency training or testing associated with those plans incorporate an alternate communications protocol capability as part of establishing resilience in organizational systems. Switching communications protocols may affect software applications and operational aspects of systems. Organizations assess the potential side effects of introducing alternate communications protocols prior to implementation.

+ + + +

the capability to employ are provided in support of maintaining continuity of operations.

+ + + + + + +

Contingency planning policy

+

procedures addressing alternative communications protocols

+

contingency plan

+

continuity of operations plan

+

system design documentation

+

system configuration settings and associated documentation

+

list of alternative communications protocols supporting continuity of operations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with contingency planning and plan implementation responsibilities

+

organizational personnel with continuity of operations planning and plan implementation responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms employing alternative communications protocols

+ + + + + Safe Mode + + + + + + +

restrictions for safe mode of operation are defined;

+ + + + + + + +

conditions detected to enter a safe mode of operation are defined;

+ + + + + + + + + + + + + + +

When are detected, enter a safe mode of operation with .

+ + +

For systems that support critical mission and business functions—including military operations, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments)—organizations can identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated either automatically or manually, restricts the operations that systems can execute when those conditions are encountered. Restriction includes allowing only selected functions to execute that can be carried out under limited power or with reduced communications bandwidth.

+ + + +

a safe mode of operation is entered with when are detected.

+ + + + + + +

Contingency planning policy

+

procedures addressing safe mode of operation for the system

+

contingency plan

+

system design documentation

+

system configuration settings and associated documentation

+

system administration manuals

+

system operation manuals

+

system installation manuals

+

contingency plan test records

+

incident handling records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operation responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms implementing safe mode of operation

+ + + + + Alternative Security Mechanisms + + + + + +

alternative or supplemental security mechanisms are defined;

+ + + + + + + +

security functions are defined;

+ + + + + + + + + + + + +

Employ for satisfying when the primary means of implementing the security function is unavailable or compromised.

+ + +

Use of alternative security mechanisms supports system resiliency, contingency planning, and continuity of operations. To ensure mission and business continuity, organizations can implement alternative or supplemental security mechanisms. The mechanisms may be less effective than the primary mechanisms. However, having the capability to readily employ alternative or supplemental mechanisms enhances mission and business continuity that might otherwise be adversely impacted if operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, the alternative or supplemental mechanisms are only applied to critical security capabilities provided by systems, system components, or system services. For example, an organization may issue one-time pads to senior executives, officials, and system administrators if multi-factor tokens—the standard means for achieving secure authentication— are compromised.

+ + + +

are employed for satisfying when the primary means of implementing the security function is unavailable or compromised.

+ + + + + + +

Contingency planning policy

+

procedures addressing alternate security mechanisms

+

contingency plan

+

continuity of operations plan

+

system design documentation

+

system configuration settings and associated documentation

+

contingency plan test records

+

contingency plan test results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operation responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

system capability implementing alternative security mechanisms

+ + + + + + Identification and Authentication + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the identification and authentication policy is to be disseminated are defined;

+ + + + + + +

personnel or roles to whom the identification and authentication procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the identification and authentication policy and procedures is defined;

+ + + + + + + +

the frequency at which the current identification and authentication policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current identification and authentication policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current identification and authentication procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require identification and authentication procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

identification and authentication policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and

+ + + +

Review and update the current identification and authentication:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Identification and authentication policy and procedures address the controls in the IA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of identification and authentication policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to identification and authentication policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

an identification and authentication policy is developed and documented;

+ + + + +

the identification and authentication policy is disseminated to ;

+ + + + +

identification and authentication procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls are developed and documented;

+ + + + +

the identification and authentication procedures are disseminated to ;

+ + + + + + + + +

the identification and authentication policy addresses purpose;

+ + + + +

the identification and authentication policy addresses scope;

+ + + + +

the identification and authentication policy addresses roles;

+ + + + +

the identification and authentication policy addresses responsibilities;

+ + + + +

the identification and authentication policy addresses management commitment;

+ + + + +

the identification and authentication policy addresses coordination among organizational entities;

+ + + + +

the identification and authentication policy addresses compliance;

+ + + + + + +

the identification and authentication policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the identification and authentication policy and procedures;

+ + + + + + + + +

the current identification and authentication policy is reviewed and updated ;

+ + + + +

the current identification and authentication policy is reviewed and updated following ;

+ + + + + + + + +

the current identification and authentication procedures are reviewed and updated ;

+ + + + +

the current identification and authentication procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Identification and authentication policy and procedures

+

system security plan

+

privacy plan

+

risk management strategy documentation

+

list of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings)

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identification and authentication responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Identification and Authentication (Organizational Users) + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Uniquely identify and authenticate organizational users and associate that unique identification with processes acting on behalf of those users.

+ + +

Organizations can satisfy the identification and authentication requirements by complying with the requirements in HSPD 12 . Organizational users include employees or individuals who organizations consider to have an equivalent status to employees (e.g., contractors and guest researchers). Unique identification and authentication of users applies to all accesses other than those that are explicitly identified in AC-14 and that occur through the authorized use of group authenticators without individual authentication. Since processes execute on behalf of groups and roles, organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity.

+

Organizations employ passwords, physical authenticators, or biometrics to authenticate user identities or, in the case of multi-factor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where access is obtained through direct connections without the use of networks. Network access is access to organizational systems by users (or processes acting on behalf of users) where access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks. Internal networks include local area networks and wide area networks.

+

The use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization-controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in IA-8.

+ + + + + +

organizational users are uniquely identified and authenticated;

+ + + + +

the unique identification of authenticated organizational users is associated with processes acting on behalf of those users.

+ + + + + + + + +

Identification and authentication policy

+

procedures addressing user identification and authentication

+

system security plan, system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of system accounts

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

organizational personnel with account management responsibilities

+

system developers

+ + + + + + +

Organizational processes for uniquely identifying and authenticating users

+

mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + Multi-factor Authentication to Privileged Accounts + + + + + + + + + +

Implement multi-factor authentication for access to privileged accounts.

+ + +

Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number [PIN]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification (PIV) card or the Department of Defense (DoD) Common Access Card (CAC). In addition to authenticating users at the system level (i.e., at logon), organizations may employ authentication mechanisms at the application level, at their discretion, to provide increased security. Regardless of the type of access (i.e., local, network, remote), privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.

+ + + +

multi-factor authentication is implemented for access to privileged accounts.

+ + + + + + +

Identification and authentication policy

+

procedures addressing user identification and authentication

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of system accounts

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with account management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing a multi-factor authentication capability

+ + + + + Multi-factor Authentication to Non-privileged Accounts + + + + + + + + +

Implement multi-factor authentication for access to non-privileged accounts.

+ + +

Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number [PIN]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, remote), non-privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.

+ + + +

multi-factor authentication for access to non-privileged accounts is implemented.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of system accounts

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with account management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing a multi-factor authentication capability

+ + + + + Local Access to Privileged Accounts + + + + + + + + + Local Access to Non-privileged Accounts + + + + + + + + + Individual Authentication with Group Authentication + + + + + + + + +

When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources.

+ + +

Individual authentication prior to shared group authentication mitigates the risk of using group accounts or authenticators.

+ + + +

users are required to be individually authenticated before granting access to the shared accounts or resources when shared accounts or authenticators are employed.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of system accounts

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with account management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing an authentication capability for group accounts

+ + + + + Access to Accounts —separate Device + + + + + + + + + + + + + + + +

the strength of mechanism requirements to be enforced by a device separate from the system gaining access to accounts is defined;

+ + + + + + + + + + +

Implement multi-factor authentication for access to such that:

+ + +

One of the factors is provided by a device separate from the system gaining access; and

+ + + +

The device meets .

+ + + +

The purpose of requiring a device that is separate from the system to which the user is attempting to gain access for one of the factors during multi-factor authentication is to reduce the likelihood of compromising authenticators or credentials stored on the system. Adversaries may be able to compromise such authenticators or credentials and subsequently impersonate authorized users. Implementing one of the factors on a separate device (e.g., a hardware token), provides a greater strength of mechanism and an increased level of assurance in the authentication process.

+ + + + + +

multi-factor authentication is implemented for access to such that one of the factors is provided by a device separate from the system gaining access;

+ + + + +

multi-factor authentication is implemented for access to such that the device meets .

+ + + + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of system accounts

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with account management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing multi-factor authentication capability

+ + + + + Network Access to Non-privileged Accounts — Separate Device + + + + + + + + + Access to Accounts — Replay Resistant + + + + + + + + + + + + +

Implement replay-resistant authentication mechanisms for access to .

+ + +

Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include protocols that use nonces or challenges such as time synchronous or cryptographic authenticators.

+ + + +

replay-resistant authentication mechanisms for access to are implemented.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of privileged system accounts

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with account management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+

Mechanisms supporting and/or implementing replay-resistant authentication mechanisms

+ + + + + Network Access to Non-privileged Accounts — Replay Resistant + + + + + + + + + Single Sign-on + + + + + +

system accounts and services for which a single sign-on capability must be provided are defined;

+ + + + + + + + + +

Provide a single sign-on capability for .

+ + +

Single sign-on enables users to log in once and gain access to multiple system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the risk introduced by allowing access to multiple systems via a single authentication event. Single sign-on can present opportunities to improve system security, for example by providing the ability to add multi-factor authentication for applications and systems (existing and new) that may not be able to natively support multi-factor authentication.

+ + + +

a single sign-on capability is provided for .

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing single sign-on capability for system accounts and services

+

procedures addressing identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of system accounts and services requiring single sign-on capability

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with account management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+

mechanisms supporting and/or implementing single sign-on capability for system accounts and services

+ + + + + Remote Access — Separate Device + + + + + + + + + Acceptance of PIV Credentials + + + + + + + +

Accept and electronically verify Personal Identity Verification-compliant credentials.

+ + +

Acceptance of Personal Identity Verification (PIV)-compliant credentials applies to organizations implementing logical access control and physical access control systems. PIV-compliant credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are authorized using SP 800-79-2 . Acceptance of PIV-compliant credentials includes derived PIV credentials, the use of which is addressed in SP 800-166 . The DOD Common Access Card (CAC) is an example of a PIV credential.

+ + + +

Personal Identity Verification-compliant credentials are accepted and electronically verified.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

PIV verification records

+

evidence of PIV credentials

+

PIV credential authorizations

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with account management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing acceptance and verification of PIV credentials

+ + + + + Out-of-band Authentication + + + + + +

out-of-band authentication mechanisms to be implemented are defined;

+ + + + + + + +

conditions under which out-of-band authentication is to be implemented are defined;

+ + + + + + + + + + + + +

Implement the following out-of-band authentication mechanisms under : .

+ + +

Out-of-band authentication refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path) is used to identify and authenticate users or devices and is generally the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user’s cell phone to verify that the requested action originated from the user. The user may confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. Out-of-band authentication can be used to mitigate actual or suspected man-in the-middle attacks. The conditions or criteria for activation include suspicious activities, new threat indicators, elevated threat levels, or the impact or classification level of information in requested transactions.

+ + + +

mechanisms are implemented under .

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system-generated list of out-of-band authentication paths

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with account management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing out-of-band authentication capability

+ + + + + + Device Identification and Authentication + + + + + +

devices and/or types of devices to be uniquely identified and authenticated before establishing a connection are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + +

Uniquely identify and authenticate before establishing a connection.

+ + +

Devices that require unique device-to-device identification and authentication are defined by type, device, or a combination of type and device. Organization-defined device types include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control [MAC], Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., Institute of Electrical and Electronics Engineers (IEEE) 802.1x and Extensible Authentication Protocol [EAP], RADIUS server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission or business requirements. Because of the challenges of implementing device authentication on a large scale, organizations can restrict the application of the control to a limited number/type of devices based on mission or business needs.

+ + + +

are uniquely identified and authenticated before establishing a connection.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing device identification and authentication

+

system design documentation

+

list of devices requiring unique identification and authentication

+

device connection reports

+

system configuration settings and associated documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with operational responsibilities for device identification and authentication

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing device identification and authentication capabilities

+ + + + Cryptographic Bidirectional Authentication + + + + + +

devices and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more connections are defined;

+ + + + + + + + + + + + + + + + + +

Authenticate before establishing connection using bidirectional authentication that is cryptographically based.

+ + +

A local connection is a connection with a device that communicates without the use of a network. A network connection is a connection with a device that communicates through a network. A remote connection is a connection with a device that communicates through an external network. Bidirectional authentication provides stronger protection to validate the identity of other devices for connections that are of greater risk.

+ + + +

are authenticated before establishing connection using bidirectional authentication that is cryptographically based.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing device identification and authentication

+

system design documentation

+

list of devices requiring unique identification and authentication

+

device connection reports

+

system configuration settings and associated documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with operational responsibilities for device identification and authentication

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing device authentication capability

+

cryptographically based bidirectional authentication mechanisms

+ + + + + Cryptographic Bidirectional Network Authentication + + + + + + + + + Dynamic Address Allocation + + + + + + + + + +

lease information to be employed to standardize dynamic address allocation for devices is defined;

+ + + + + + +

lease duration to be employed to standardize dynamic address allocation for devices is defined;

+ + + + + + + + + + + + +

Where addresses are allocated dynamically, standardize dynamic address allocation lease information and the lease duration assigned to devices in accordance with ; and

+ + + +

Audit lease information when assigned to a device.

+ + + +

The Dynamic Host Configuration Protocol (DHCP) is an example of a means by which clients can dynamically receive network address assignments.

+ + + + + + + +

dynamic address allocation lease information assigned to devices where addresses are allocated dynamically are standardized in accordance with ;

+ + + + +

dynamic address allocation lease duration assigned to devices where addresses are allocated dynamically are standardized in accordance with ;

+ + + + + + +

lease information is audited when assigned to a device.

+ + + + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing device identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

evidence of lease information and lease duration assigned to devices

+

device connection reports

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with operational responsibilities for device identification and authentication

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing device identification and authentication capabilities

+

mechanisms supporting and/or implementing dynamic address allocation

+

mechanisms supporting and/or implanting auditing of lease information

+ + + + + Device Attestation + + + + + +

configuration management process to be employed to handle device identification and authentication based on attestation is defined;

+ + + + + + + + + + + + +

Handle device identification and authentication based on attestation by .

+ + +

Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. Device attestation can be determined via a cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the patches and updates are done securely and do not disrupt identification and authentication to other devices.

+ + + +

device identification and authentication are handled based on attestation by .

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing device identification and authentication

+

procedures addressing device configuration management

+

system design documentation

+

system configuration settings and associated documentation

+

configuration management records

+

change control records

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with operational responsibilities for device identification and authentication

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing device identification and authentication capabilities

+

mechanisms supporting and/or implementing configuration management

+

cryptographic mechanisms supporting device attestation

+ + + + + + Identifier Management + + + + + +

personnel or roles from whom authorization must be received to assign an identifier are defined;

+ + + + + + + +

a time period for preventing reuse of identifiers is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Manage system identifiers by:

+ + +

Receiving authorization from to assign an individual, group, role, service, or device identifier;

+ + + +

Selecting an identifier that identifies an individual, group, role, service, or device;

+ + + +

Assigning the identifier to the intended individual, group, role, service, or device; and

+ + + +

Preventing reuse of identifiers for .

+ + + +

Common device identifiers include Media Access Control (MAC) addresses, Internet Protocol (IP) addresses, or device-unique token identifiers. The management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the usernames of the system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4 . Identifier management also addresses individual identifiers not necessarily associated with system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, service, or device identifiers to different individuals, groups, roles, services, or devices.

+ + + + + +

system identifiers are managed by receiving authorization from to assign to an individual, group, role, or device identifier;

+ + + + +

system identifiers are managed by selecting an identifier that identifies an individual, group, role, service, or device;

+ + + + +

system identifiers are managed by assigning the identifier to the intended individual, group, role, service, or device;

+ + + + +

system identifiers are managed by preventing reuse of identifiers for .

+ + + + + + + + +

Identification and authentication policy

+

procedures addressing identifier management

+

procedures addressing account management

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

list of system accounts

+

list of identifiers generated from physical access control devices

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identifier management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing identifier management

+ + + + Prohibit Account Identifiers as Public Identifiers + + + + + + + + + +

Prohibit the use of system account identifiers that are the same as public identifiers for individual accounts.

+ + +

Prohibiting account identifiers as public identifiers applies to any publicly disclosed account identifier used for communication such as, electronic mail and instant messaging. Prohibiting the use of systems account identifiers that are the same as some public identifier, such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers. Prohibiting account identifiers as public identifiers without the implementation of other supporting controls only complicates guessing of identifiers. Additional protections are required for authenticators and credentials to protect the account.

+ + + +

the use of system account identifiers that are the same as public identifiers is prohibited for individual accounts.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing identifier management

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identifier management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing identifier management

+ + + + + Supervisor Authorization + + + + + + + + + Multiple Forms of Certification + + + + + + + + + Identify User Status + + + + + + +

characteristics used to identify individual status is defined;

+ + + + + + + + + +

Manage individual identifiers by uniquely identifying each individual as .

+ + +

Characteristics that identify the status of individuals include contractors, foreign nationals, and non-organizational users. Identifying the status of individuals by these characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.

+ + + +

individual identifiers are managed by uniquely identifying each individual as .

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing identifier management

+

procedures addressing account management

+

list of characteristics identifying individual status

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identifier management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing identifier management

+ + + + + Dynamic Management + + + + + +

a dynamic identifier policy for managing individual identifiers is defined;

+ + + + + + + + + + +

Manage individual identifiers dynamically in accordance with .

+ + +

In contrast to conventional approaches to identification that presume static accounts for preregistered users, many distributed systems establish identifiers at runtime for entities that were previously unknown. When identifiers are established at runtime for previously unknown entities, organizations can anticipate and provision for the dynamic establishment of identifiers. Pre-established trust relationships and mechanisms with appropriate authorities to validate credentials and related identifiers are essential.

+ + + +

individual identifiers are dynamically managed in accordance with .

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing identifier management

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identifier management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing dynamic identifier management

+ + + + + Cross-organization Management + + + + + +

external organizations with whom to coordinate the cross-organization management of identifiers are defined;

+ + + + + + + + + + + + +

Coordinate with the following external organizations for cross-organization management of identifiers: .

+ + +

Cross-organization identifier management provides the capability to identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.

+ + + +

cross-organization management of identifiers is coordinated with .

+ + + + + + +

Identification and authentication policy

+

procedures addressing identifier management

+

procedures addressing account management

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identifier management responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identifier management

+ + + + + In-person Registration + + + + + + + + + Pairwise Pseudonymous Identifiers + + + + + + + + +

Generate pairwise pseudonymous identifiers.

+ + +

A pairwise pseudonymous identifier is an opaque unguessable subscriber identifier generated by an identity provider for use at a specific individual relying party. Generating distinct pairwise pseudonymous identifiers with no identifying information about a subscriber discourages subscriber activity tracking and profiling beyond the operational requirements established by an organization. The pairwise pseudonymous identifiers are unique to each relying party except in situations where relying parties can show a demonstrable relationship justifying an operational need for correlation, or all parties consent to being correlated in such a manner.

+ + + +

pairwise pseudonymous identifiers are generated.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing identifier management

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identifier management responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identifier management

+ + + + + Attribute Maintenance and Protection + + + + + +

protected central storage used to maintain the attributes for each uniquely identified individual, device, or service is defined;

+ + + + + + + + + + +

Maintain the attributes for each uniquely identified individual, device, or service in .

+ + +

For each of the entities covered in IA-2, IA-3, IA-8 , and IA-9 , it is important to maintain the attributes for each authenticated entity on an ongoing basis in a central (protected) store.

+ + + +

the attributes for each uniquely identified individual, device, or service are maintained in .

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing identifier management

+

procedures addressing account management

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identifier management responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identifier management

+ + + + + + Authenticator Management + + + + + +

a time period for changing or refreshing authenticators by authenticator type is defined;

+ + + + + + + +

events that trigger the change or refreshment of authenticators are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Manage system authenticators by:

+ + +

Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, service, or device receiving the authenticator;

+ + + +

Establishing initial authenticator content for any authenticators issued by the organization;

+ + + +

Ensuring that authenticators have sufficient strength of mechanism for their intended use;

+ + + +

Establishing and implementing administrative procedures for initial authenticator distribution, for lost or compromised or damaged authenticators, and for revoking authenticators;

+ + + +

Changing default authenticators prior to first use;

+ + + +

Changing or refreshing authenticators or when occur;

+ + + +

Protecting authenticator content from unauthorized disclosure and modification;

+ + + +

Requiring individuals to take, and having devices implement, specific controls to protect authenticators; and

+ + + +

Changing authenticators for group or role accounts when membership to those accounts changes.

+ + + +

Authenticators include passwords, cryptographic devices, biometrics, certificates, one-time password devices, and ID badges. Device authenticators include certificates and passwords. Initial authenticator content is the actual content of the authenticator (e.g., the initial password). In contrast, the requirements for authenticator content contain specific criteria or characteristics (e.g., minimum password length). Developers may deliver system components with factory default authentication credentials (i.e., passwords) to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6 , and SC-28 for authenticators stored in organizational systems, including passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges.

+

Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics (e.g., minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication). Actions can be taken to safeguard individual authenticators, including maintaining possession of authenticators, not sharing authenticators with others, and immediately reporting lost, stolen, or compromised authenticators. Authenticator management includes issuing and revoking authenticators for temporary access when no longer needed.

+ + + + + +

system authenticators are managed through the verification of the identity of the individual, group, role, service, or device receiving the authenticator as part of the initial authenticator distribution;

+ + + + +

system authenticators are managed through the establishment of initial authenticator content for any authenticators issued by the organization;

+ + + + +

system authenticators are managed to ensure that authenticators have sufficient strength of mechanism for their intended use;

+ + + + +

system authenticators are managed through the establishment and implementation of administrative procedures for initial authenticator distribution; lost, compromised, or damaged authenticators; and the revocation of authenticators;

+ + + + +

system authenticators are managed through the change of default authenticators prior to first use;

+ + + + +

system authenticators are managed through the change or refreshment of authenticators or when occur;

+ + + + +

system authenticators are managed through the protection of authenticator content from unauthorized disclosure and modification;

+ + + + + + +

system authenticators are managed through the requirement for individuals to take specific controls to protect authenticators;

+ + + + +

system authenticators are managed through the requirement for devices to implement specific controls to protect authenticators;

+ + + + + + +

system authenticators are managed through the change of authenticators for group or role accounts when membership to those accounts changes.

+ + + + + + + + +

Identification and authentication policy

+

system security plan

+

addressing authenticator management

+

system design documentation

+

system configuration settings and associated documentation

+

list of system authenticator types

+

change control records associated with managing system authenticators

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with authenticator management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing authenticator management capability

+ + + + Password-based Authentication + + + + + +

the frequency at which to update the list of commonly used, expected, or compromised passwords is defined;

+ + + + + + + +

authenticator composition and complexity rules are defined;

+ + + + + + + + + + + +

For password-based authentication:

+ + +

Maintain a list of commonly-used, expected, or compromised passwords and update the list and when organizational passwords are suspected to have been compromised directly or indirectly;

+ + + +

Verify, when users create or update passwords, that the passwords are not found on the list of commonly-used, expected, or compromised passwords in IA-5(1)(a);

+ + + +

Transmit passwords only over cryptographically-protected channels;

+ + + +

Store passwords using an approved salted key derivation function, preferably using a keyed hash;

+ + + +

Require immediate selection of a new password upon account recovery;

+ + + +

Allow user selection of long passwords and passphrases, including spaces and all printable characters;

+ + + +

Employ automated tools to assist the user in selecting strong password authenticators; and

+ + + +

Enforce the following composition and complexity rules: .

+ + + +

Password-based authentication applies to passwords regardless of whether they are used in single-factor or multi-factor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefits while decreasing usability. However, organizations may choose to establish certain rules for password generation (e.g., minimum character length for long passwords) under certain circumstances and can enforce this requirement in IA-5(1)(h). Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically protected passwords include salted one-way cryptographic hashes of passwords. The list of commonly used, compromised, or expected passwords includes passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. The list includes context-specific words, such as the name of the service, username, and derivatives thereof.

+ + + + + +

for password-based authentication, a list of commonly used, expected, or compromised passwords is maintained and updated and when organizational passwords are suspected to have been compromised directly or indirectly;

+ + + + +

for password-based authentication when passwords are created or updated by users, the passwords are verified not to be found on the list of commonly used, expected, or compromised passwords in IA-05(01)(a);

+ + + + +

for password-based authentication, passwords are only transmitted over cryptographically protected channels;

+ + + + +

for password-based authentication, passwords are stored using an approved salted key derivation function, preferably using a keyed hash;

+ + + + +

for password-based authentication, immediate selection of a new password is required upon account recovery;

+ + + + +

for password-based authentication, user selection of long passwords and passphrases is allowed, including spaces and all printable characters;

+ + + + +

for password-based authentication, automated tools are employed to assist the user in selecting strong password authenticators;

+ + + + +

for password-based authentication, are enforced.

+ + + + + + + + +

Identification and authentication policy

+

password policy

+

procedures addressing authenticator management

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

password configurations and associated documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with authenticator management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing password-based authenticator management capability

+ + + + + Public Key-based Authentication + + + + + + + + + + + +

For public key-based authentication:

+ + +

Enforce authorized access to the corresponding private key; and

+ + + +

Map the authenticated identity to the account of the individual or group; and

+ + + + +

When public key infrastructure (PKI) is used:

+ + +

Validate certificates by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information; and

+ + + +

Implement a local cache of revocation data to support path discovery and validation.

+ + + + +

Public key cryptography is a valid authentication mechanism for individuals, machines, and devices. For PKI solutions, status information for certification paths includes certificate revocation lists or certificate status protocol responses. For PIV cards, certificate validation involves the construction and verification of a certification path to the Common Policy Root trust anchor, which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation also supports system availability in situations where organizations are unable to access revocation information via the network.

+ + + + + + + +

authorized access to the corresponding private key is enforced for public key-based authentication;

+ + + + +

the authenticated identity is mapped to the account of the individual or group for public key-based authentication;

+ + + + + + + + +

when public key infrastructure (PKI) is used, certificates are validated by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information;

+ + + + +

when public key infrastructure (PKI) is used, a local cache of revocation data is implemented to support path discovery and validation.

+ + + + + + + + + + +

Identification and authentication policy

+

procedures addressing authenticator management

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

PKI certification validation records

+

PKI certification revocation lists

+

other relevant documents or records

+ + + + + + +

Organizational personnel with PKI-based, authenticator management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing PKI-based, authenticator management capability

+ + + + + In-person or Trusted External Party Registration + + + + + + + + + Automated Support for Password Strength Determination + + + + + + + + + Change Authenticators Prior to Delivery + + + + + + + +

Require developers and installers of system components to provide unique authenticators or change default authenticators prior to delivery and installation.

+ + +

Changing authenticators prior to the delivery and installation of system components extends the requirement for organizations to change default authenticators upon system installation by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to developers of commercial off-the-shelf information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring systems or system components.

+ + + +

developers and installers of system components are required to provide unique authenticators or change default authenticators prior to delivery and installation.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

system and services acquisition policy

+

procedures addressing authenticator management

+

procedures addressing the integration of security requirements into the acquisition process

+

acquisition documentation

+

acquisition contracts for system procurements or services

+

other relevant documents or records

+ + + + + + +

Organizational personnel with authenticator management responsibilities

+

organizational personnel with information security, acquisition, and contracting responsibilities

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing authenticator management capability

+ + + + + Protection of Authenticators + + + + + + + + +

Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access.

+ + +

For systems that contain multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process.

+ + + +

authenticators are protected commensurate with the security category of the information to which use of the authenticator permits access.

+ + + + + + +

Identification and authentication policy

+

procedures addressing authenticator management

+

security categorization documentation for the system

+

security assessments of authenticator protections

+

risk assessment results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with authenticator management responsibilities

+

organizational personnel implementing and/or maintaining authenticator protections

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing authenticator management capability

+

mechanisms protecting authenticators

+ + + + + No Embedded Unencrypted Static Authenticators + + + + + + + +

Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage.

+ + +

In addition to applications, other forms of static storage include access scripts and function keys. Organizations exercise caution when determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators.

+ + + +

unencrypted static authenticators are not embedded in applications or other forms of static storage.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing authenticator management

+

system design documentation

+

system configuration settings and associated documentation

+

logical access scripts

+

application code reviews for detecting unencrypted static authenticators

+

other relevant documents or records

+ + + + + + +

Organizational personnel with authenticator management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing authenticator management capability

+

mechanisms implementing authentication in applications

+ + + + + Multiple System Accounts + + + + + +

security controls implemented to manage the risk of compromise due to individuals having accounts on multiple systems are defined;

+ + + + + + + + + + +

Implement to manage the risk of compromise due to individuals having accounts on multiple systems.

+ + +

When individuals have accounts on multiple systems and use the same authenticators such as passwords, there is the risk that a compromise of one account may lead to the compromise of other accounts. Alternative approaches include having different authenticators (passwords) on all systems, employing a single sign-on or federation mechanism, or using some form of one-time passwords on all systems. Organizations can also use rules of behavior (see PL-4 ) and access agreements (see PS-6 ) to mitigate the risk of multiple system accounts.

+ + + +

are implemented to manage the risk of compromise due to individuals having accounts on multiple systems.

+ + + + + + +

Identification and authentication policy

+

procedures addressing authenticator management

+

system security plan

+

list of individuals having accounts on multiple systems

+

list of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple systems

+

other relevant documents or records

+ + + + + + +

Organizational personnel with authenticator management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing safeguards for authenticator management

+ + + + + Federated Credential Management + + + + + +

external organizations to be used for federating credentials are defined;

+ + + + + + + + + + + +

Use the following external organizations to federate credentials: .

+ + +

Federation provides organizations with the capability to authenticate individuals and devices when conducting cross-organization activities involving the processing, storage, or transmission of information. Using a specific list of approved external organizations for authentication helps to ensure that those organizations are vetted and trusted.

+ + + +

are used to federate credentials.

+ + + + + + +

Identification and authentication policy

+

procedures addressing authenticator management

+

procedures addressing account management

+

system security plan

+

security agreements

+

other relevant documents or records

+ + + + + + +

Organizational personnel with authenticator management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing safeguards for authenticator management

+ + + + + Dynamic Credential Binding + + + + + +

rules for dynamically binding identities and authenticators are defined;

+ + + + + + + + + + + +

Bind identities and authenticators dynamically using the following rules: .

+ + +

Authentication requires some form of binding between an identity and the authenticator that is used to confirm the identity. In conventional approaches, binding is established by pre-provisioning both the identity and the authenticator to the system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the system. New authentication techniques allow the binding between the identity and the authenticator to be implemented external to a system. For example, with smartcard credentials, the identity and authenticator are bound together on the smartcard. Using these credentials, systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

+ + + +

identities and authenticators are dynamically bound using .

+ + + + + + +

Identification and authentication policy

+

procedures addressing identifier management

+

system security plan

+

system design documentation

+

automated mechanisms providing dynamic binding of identifiers and authenticators

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identifier management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Automated mechanisms implementing identifier management capability

+

automated mechanisms implementing dynamic binding of identities and authenticators

+ + + + + Hardware Token-based Authentication + + + + + + + + + + Biometric Authentication Performance + + + + + +

biometric quality requirements for biometric-based authentication are defined;

+ + + + + + + + + + +

For biometric-based authentication, employ mechanisms that satisfy the following biometric quality requirements .

+ + +

Unlike password-based authentication, which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide exact matches. Depending on the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and the stored biometric that serves as the basis for comparison. Matching performance is the rate at which a biometric algorithm correctly results in a match for a genuine user and rejects other users. Biometric performance requirements include the match rate, which reflects the accuracy of the biometric matching algorithm used by a system.

+ + + +

mechanisms that satisfy are employed for biometric-based authentication.

+ + + + + + +

Identification and authentication policy

+

procedures addressing authenticator management

+

system security plan

+

system design documentation

+

mechanisms employing biometric-based authentication for the system

+

list of biometric quality requirements

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with authenticator management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing biometric-based authenticator management capability

+ + + + + Expiration of Cached Authenticators + + + + + +

the time period after which the use of cached authenticators is prohibited is defined;

+ + + + + + + + + +

Prohibit the use of cached authenticators after .

+ + +

Cached authenticators are used to authenticate to the local machine when the network is not available. If cached authentication information is out of date, the validity of the authentication information may be questionable.

+ + + +

the use of cached authenticators is prohibited after .

+ + + + + + +

Identification and authentication policy

+

procedures addressing authenticator management

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with authenticator management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing authenticator management capability

+ + + + + Managing Content of PKI Trust Stores + + + + + + + +

For PKI-based authentication, employ an organization-wide methodology for managing the content of PKI trust stores installed across all platforms, including networks, operating systems, browsers, and applications.

+ + +

An organization-wide methodology for managing the content of PKI trust stores helps improve the accuracy and currency of PKI-based authentication credentials across the organization.

+ + + +

an organization-wide methodology for managing the content of PKI trust stores is employed across all platforms, including networks, operating systems, browsers, and applications for PKI-based authentication.

+ + + + + + +

Identification and authentication policy

+

procedures addressing authenticator management

+

system security plan

+

organizational methodology for managing content of PKI trust stores across installed all platforms

+

system design documentation

+

system configuration settings and associated documentation

+

enterprise security architecture documentation

+

enterprise architecture documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with authenticator management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing PKI-based authenticator management capability

+

mechanisms supporting and/or implementing the PKI trust store capability

+ + + + + GSA-approved Products and Services + + + + + + + +

Use only General Services Administration-approved products and services for identity, credential, and access management.

+ + +

General Services Administration (GSA)-approved products and services are products and services that have been approved through the GSA conformance program, where applicable, and posted to the GSA Approved Products List. GSA provides guidance for teams to design and build functional and secure systems that comply with Federal Identity, Credential, and Access Management (FICAM) policies, technologies, and implementation patterns.

+ + + +

only General Services Administration-approved products and services are used for identity, credential, and access management.

+ + + + + + +

Identification and authentication policy

+

procedures addressing identifier management

+

system security plan

+

system design documentation

+

mechanisms providing dynamic binding of identifiers and authenticators

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identification and authentication management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing account management capability

+

mechanisms supporting and/or implementing identification and authentication management capabilities for the system

+ + + + + In-person or Trusted External Party Authenticator Issuance + + + + + +

types of and/or specific authenticators to be issued are defined;

+ + + + + + + + + + + + +

the registration authority that issues authenticators is defined;

+ + + + + + + +

the personnel or roles who authorize the issuance of authenticators are defined;

+ + + + + + + + + + +

Require that the issuance of be conducted before with authorization by .

+ + +

Issuing authenticators in person or by a trusted external party enhances and reinforces the trustworthiness of the identity proofing process.

+ + + +

the issuance of is required to be conducted before with authorization by .

+ + + + + + +

Identification and authentication policy

+

procedures addressing identifier management

+

system security plan

+

system design documentation

+

mechanisms providing dynamic binding of identifiers and authenticators

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identification and authentication management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing account management capability

+

mechanisms supporting and/or implementing identification and authentication management capabilities for the system

+ + + + + Presentation Attack Detection for Biometric Authenticators + + + + + + + + +

Employ presentation attack detection mechanisms for biometric-based authentication.

+ + +

Biometric characteristics do not constitute secrets. Such characteristics can be obtained by online web accesses, taking a picture of someone with a camera phone to obtain facial images with or without their knowledge, lifting from objects that someone has touched (e.g., a latent fingerprint), or capturing a high-resolution image (e.g., an iris pattern). Presentation attack detection technologies including liveness detection, can mitigate the risk of these types of attacks by making it difficult to produce artifacts intended to defeat the biometric sensor.

+ + + +

presentation attack detection mechanisms are employed for biometric-based authentication.

+ + + + + + +

Identification and authentication policy

+

procedures addressing identifier management

+

system security plan

+

system design documentation

+

mechanisms providing dynamic binding of identifiers and authenticators

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identification and authentication management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing account management capability

+

mechanisms supporting and/or implementing identification and authentication management capabilities for the system

+ + + + + Password Managers + + + + + +

password managers employed for generating and managing passwords are defined;

+ + + + + + + +

controls for protecting passwords are defined;

+ + + + + + + + + + + +

Employ to generate and manage passwords; and

+ + + +

Protect the passwords using .

+ + + +

For systems where static passwords are employed, it is often a challenge to ensure that the passwords are suitably complex and that the same passwords are not employed on multiple systems. A password manager is a solution to this problem as it automatically generates and stores strong and different passwords for various accounts. A potential risk of using password managers is that adversaries can target the collection of passwords generated by the password manager. Therefore, the collection of passwords requires protection including encrypting the passwords (see IA-5(1)(d) ) and storing the collection offline in a token.

+ + + + + +

are employed to generate and manage passwords;

+ + + + +

the passwords are protected using .

+ + + + + + + + +

Identification and authentication policy

+

procedures addressing identifier management

+

system security plan

+

system design documentation

+

mechanisms providing dynamic binding of identifiers and authenticators

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with identification and authentication management responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms supporting and/or implementing account management capability

+

mechanisms supporting and/or implementing identification and authentication management capabilities for the system

+ + + + + + Authentication Feedback + + + + + + + +

Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals.

+ + +

Authentication feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems, such as desktops or notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems, such as mobile devices with small displays, the threat may be less significant and is balanced against the increased likelihood of typographic input errors due to small keyboards. Thus, the means for obscuring authentication feedback is selected accordingly. Obscuring authentication feedback includes displaying asterisks when users type passwords into input devices or displaying feedback for a very limited time before obscuring it.

+ + + +

the feedback of authentication information is obscured during the authentication process to protect the information from possible exploitation and use by unauthorized individuals.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing authenticator feedback

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication

+ + + + + Cryptographic Module Authentication + + + + + + + + + + + + +

Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication.

+ + +

Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.

+ + + +

mechanisms for authentication to a cryptographic module are implemented that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing cryptographic module authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibility for cryptographic module authentication

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing cryptographic module authentication

+ + + + + Identification and Authentication (Non-organizational Users) + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users.

+ + +

Non-organizational users include system users other than organizational users explicitly covered by IA-2 . Non-organizational users are uniquely identified and authenticated for accesses other than those explicitly identified and documented in AC-14 . Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors—including security, privacy, scalability, and practicality—when balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk.

+ + + +

non-organizational users or processes acting on behalf of non-organizational users are uniquely identified and authenticated.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

privacy plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of system accounts

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

organizational personnel with account management responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + Acceptance of PIV Credentials from Other Agencies + + + + + + + + +

Accept and electronically verify Personal Identity Verification-compliant credentials from other federal agencies.

+ + +

Acceptance of Personal Identity Verification (PIV) credentials from other federal agencies applies to both logical and physical access control systems. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using SP 800-79-2.

+ + + + + +

Personal Identity Verification-compliant credentials from other federal agencies are accepted;

+ + + + +

Personal Identity Verification-compliant credentials from other federal agencies are electronically verified.

+ + + + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

PIV verification records

+

evidence of PIV credentials

+

PIV credential authorizations

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with account management responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+

mechanisms that accept and verify PIV credentials

+ + + + + Acceptance of External Authenticators + + + + + + + + + +

Accept only external authenticators that are NIST-compliant; and

+ + + +

Document and maintain a list of accepted external authenticators.

+ + + +

Acceptance of only NIST-compliant external authenticators applies to organizational systems that are accessible to the public (e.g., public-facing websites). External authenticators are issued by nonfederal government entities and are compliant with SP 800-63B . Approved external authenticators meet or exceed the minimum Federal Government-wide technical, security, privacy, and organizational maturity requirements. Meeting or exceeding Federal requirements allows Federal Government relying parties to trust external authenticators in connection with an authentication transaction at a specified authenticator assurance level.

+ + + + + +

only external authenticators that are NIST-compliant are accepted;

+ + + + + + +

a list of accepted external authenticators is documented;

+ + + + +

a list of accepted external authenticators is maintained.

+ + + + + + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of third-party credentialing products, components, or services procured and implemented by organization

+

third-party credential verification records

+

evidence of third-party credentials

+

third-party credential authorizations

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with account management responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+

mechanisms that accept external credentials

+ + + + + Use of FICAM-approved Products + + + + + + + + + Use of Defined Profiles + + + + + +

identity management profiles are defined;

+ + + + + + + + + +

Conform to the following profiles for identity management .

+ + +

Organizations define profiles for identity management based on open identity management standards. To ensure that open identity management standards are viable, robust, reliable, sustainable, and interoperable as documented, the Federal Government assesses and scopes the standards and technology implementations against applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.

+ + + +

there is conformance with for identity management.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with account management responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+

mechanisms supporting and/or implementing conformance with profiles

+ + + + + Acceptance of PIV-I Credentials + + + + + +

a policy for using federated or PKI credentials is defined;

+ + + + + + + + + +

Accept and verify federated or PKI credentials that meet .

+ + +

Acceptance of PIV-I credentials can be implemented by PIV, PIV-I, and other commercial or external identity providers. The acceptance and verification of PIV-I-compliant credentials apply to both logical and physical access control systems. The acceptance and verification of PIV-I credentials address nonfederal issuers of identity cards that desire to interoperate with United States Government PIV systems and that can be trusted by Federal Government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is commensurate with the PIV credentials as defined in cited references. PIV-I credentials are the credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified with the FBCA (directly or through another PKI bridge) with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.

+ + + + + +

federated or PKI credentials that meet are accepted;

+ + + + +

federated or PKI credentials that meet are verified.

+ + + + + + + + +

Identification and authentication policy

+

system security plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

PIV-I verification records

+

evidence of PIV-I credentials

+

PIV-I credential authorizations

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with account management responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+

mechanisms that accept and verify PIV-I credentials

+ + + + + Disassociability + + + + + +

disassociability measures are defined;

+ + + + + + + + + +

Implement the following measures to disassociate user attributes or identifier assertion relationships among individuals, credential service providers, and relying parties: .

+ + +

Federated identity solutions can create increased privacy risks due to the tracking and profiling of individuals. Using identifier mapping tables or cryptographic techniques to blind credential service providers and relying parties from each other or to make identity attributes less visible to transmitting parties can reduce these privacy risks.

+ + + +

to disassociate user attributes or identifier assertion relationships among individuals, credential service providers, and relying parties are implemented.

+ + + + + + +

Identification and authentication policy

+

system security plan

+

privacy plan

+

procedures addressing user identification and authentication

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with account management responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + + + Service Identification and Authentication + + + + + +

system services and applications to be uniquely identified and authenticated are defined;

+ + + + + + + + + + + + + + +

Uniquely identify and authenticate before establishing communications with devices, users, or other services or applications.

+ + +

Services that may require identification and authentication include web applications using digital certificates or services or applications that query a database. Identification and authentication methods for system services and applications include information or code signing, provenance graphs, and electronic signatures that indicate the sources of services. Decisions regarding the validity of identification and authentication claims can be made by services separate from the services acting on those decisions. This can occur in distributed system architectures. In such situations, the identification and authentication decisions (instead of actual identifiers and authentication data) are provided to the services that need to act on those decisions.

+ + + +

are uniquely identified and authenticated before establishing communications with devices, users, or other services or applications.

+ + + + + + +

Identification and authentication policy

+

procedures addressing service identification and authentication

+

system security plan

+

system design documentation

+

security safeguards used to identify and authenticate system services

+

system configuration settings and associated documentation

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with identification and authentication responsibilities

+ + + + + + +

Security safeguards implementing service identification and authentication capabilities

+ + + + Information Exchange + + + + + + + + + Transmission of Decisions + + + + + + + + + + Adaptive Authentication + + + + + +

supplemental authentication techniques or mechanisms to be employed when accessing the system under specific circumstances or situations are defined;

+ + + + + + + +

circumstances or situations that require individuals accessing the system to employ supplemental authentication techniques or mechanisms are defined;

+ + + + + + + + + + + +

Require individuals accessing the system to employ under specific .

+ + +

Adversaries may compromise individual authentication mechanisms employed by organizations and subsequently attempt to impersonate legitimate users. To address this threat, organizations may employ specific techniques or mechanisms and establish protocols to assess suspicious behavior. Suspicious behavior may include accessing information that individuals do not typically access as part of their duties, roles, or responsibilities; accessing greater quantities of information than individuals would routinely access; or attempting to access information from suspicious network addresses. When pre-established conditions or triggers occur, organizations can require individuals to provide additional authentication information. Another potential use for adaptive authentication is to increase the strength of mechanism based on the number or types of records being accessed. Adaptive authentication does not replace and is not used to avoid the use of multi-factor authentication mechanisms but can augment implementations of multi-factor authentication.

+ + + +

individuals accessing the system are required to employ under specific .

+ + + + + + +

Identification and authentication policy

+

procedures addressing adaptive/supplemental identification and authentication techniques or mechanisms

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

supplemental identification and authentication techniques or mechanisms

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with identification and authentication responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + + Re-authentication + + + + + + +

circumstances or situations requiring re-authentication are defined;

+ + + + + + + + + + + + + + + +

Require users to re-authenticate when .

+ + +

In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations, including when roles, authenticators or credentials change, when security categories of systems change, when the execution of privileged functions occurs, after a fixed time period, or periodically.

+ + + +

users are required to re-authenticate when .

+ + + + + + +

Identification and authentication policy

+

procedures addressing user and device re-authentication

+

system security plan

+

system design documentation

+

system configuration settings and associated documentation

+

list of circumstances or situations requiring re-authentication

+

system audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with identification and authentication responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + + Identity Proofing + + + + + + + + + + + + + + + + + + + + + +

Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;

+ + + +

Resolve user identities to a unique individual; and

+ + + +

Collect, validate, and verify identity evidence.

+ + + +

Identity proofing is the process of collecting, validating, and verifying a user’s identity information for the purposes of establishing credentials for accessing a system. Identity proofing is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include SP 800-63-3 and SP 800-63A . Organizations may be subject to laws, executive orders, directives, regulations, or policies that address the collection of identity evidence. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.

+ + + + + +

users who require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines are identity proofed;

+ + + + +

user identities are resolved to a unique individual;

+ + + + + + +

identity evidence is collected;

+ + + + +

identity evidence is validated;

+ + + + +

identity evidence is verified.

+ + + + + + + + + + +

Identification and authentication policy

+

procedures addressing identity proofing

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security and privacy responsibilities

+

legal counsel

+

system/network administrators

+

system developers

+

organizational personnel with identification and authentication responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + Supervisor Authorization + + + + + + + +

Require that the registration process to receive an account for logical access includes supervisor or sponsor authorization.

+ + +

Including supervisor or sponsor authorization as part of the registration process provides an additional level of scrutiny to ensure that the user’s management chain is aware of the account, the account is essential to carry out organizational missions and functions, and the user’s privileges are appropriate for the anticipated responsibilities and authorities within the organization.

+ + + +

the registration process to receive an account for logical access includes supervisor or sponsor authorization.

+ + + + + + +

Identification and authentication policy

+

procedures addressing identity proofing

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with identification and authentication responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + + Identity Evidence + + + + + + + +

Require evidence of individual identification be presented to the registration authority.

+ + +

Identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity or at least increases the work factor of potential adversaries. The forms of acceptable evidence are consistent with the risks to the systems, roles, and privileges associated with the user’s account.

+ + + +

evidence of individual identification is presented to the registration authority.

+ + + + + + +

Identification and authentication policy

+

procedures addressing identity proofing

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with identification and authentication responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + + Identity Evidence Validation and Verification + + + + + + +

methods of validation and verification of identity evidence are defined;

+ + + + + + + + + +

Require that the presented identity evidence be validated and verified through .

+ + +

Validation and verification of identity evidence increases the assurance that accounts and identifiers are being established for the correct user and authenticators are being bound to that user. Validation refers to the process of confirming that the evidence is genuine and authentic, and the data contained in the evidence is correct, current, and related to an individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risks to the systems, roles, and privileges associated with the users account.

+ + + +

the presented identity evidence is validated and verified through .

+ + + + + + +

Identification and authentication policy

+

procedures addressing identity proofing

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with identification and authentication responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + + In-person Validation and Verification + + + + + + + +

Require that the validation and verification of identity evidence be conducted in person before a designated registration authority.

+ + +

In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities.

+ + + +

the validation and verification of identity evidence is conducted in person before a designated registration authority.

+ + + + + + +

Identification and authentication policy

+

procedures addressing identity proofing

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with identification and authentication responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + + Address Confirmation + + + + + + + + + + + + + + +

Require that a be delivered through an out-of-band channel to verify the users address (physical or digital) of record.

+ + +

To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to ensure that the individual associated with an address of record is the same individual that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts is obtained from records and not self-asserted by the user. The address can include a physical or digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses.

+ + + +

a is delivered through an out-of-band channel to verify the user’s address (physical or digital) of record.

+ + + + + + +

Identification and authentication policy

+

procedures addressing identity proofing

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with identification and authentication responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + + Accept Externally-proofed Identities + + + + + +

an identity assurance level for accepting externally proofed identities is defined;

+ + + + + + + + + + + + + +

Accept externally-proofed identities at .

+ + +

To limit unnecessary re-proofing of identities, particularly of non-PIV users, organizations accept proofing conducted at a commensurate level of assurance by other agencies or organizations. Proofing is consistent with organizational security policy and the identity assurance level appropriate for the system, application, or information accessed. Accepting externally-proofed identities is a fundamental component of managing federated identities across agencies and organizations.

+ + + +

externally proofed identities are accepted .

+ + + + + + +

Identification and authentication policy

+

procedures addressing identity proofing

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with identification and authentication responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities

+ + + + + + Identity Providers and Authorization Servers + + + + + +

identification and authentication policy is defined;

+ + + + + + + +

mechanisms supporting authentication and authorization decisions are defined;

+ + + + + + + + + + + + + + + +

Employ identity providers and authorization servers to manage user, device, and non-person entity (NPE) identities, attributes, and access rights supporting authentication and authorization decisions in accordance with using .

+ + +

Identity providers, both internal and external to the organization, manage the user, device, and NPE authenticators and issue statements, often called identity assertions, attesting to identities of other systems or systems components. Authorization servers create and issue access tokens to identified and authenticated users and devices that can be used to gain access to system or information resources. For example, single sign-on (SSO) provides identity provider and authorization server functions. Authenticator management (to include credential management) is covered by IA-05.

+ + + + + +

identity providers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authentication decisions in accordance with using ;

+ + + + +

identity providers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authorization decisions in accordance with using ;

+ + + + +

authorization servers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authentication decisions in accordance with using ;

+ + + + +

authorization servers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authorization decisions in accordance with using ;

+ + + + + + + +

Identification and authentication policy;

+

procedures addressing user and device identification and authentication;

+

system security plan;

+

system design documentation;

+

system configuration settings and associated documentation;

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities;

+

organizational personnel with information security responsibilities;

+

system/network administrators;

+

organizational personnel with account management responsibilities;

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing identification and authentication capabilities and access rights

+ + + + Protection of Cryptographic Keys + + + + + + + + + + +

Cryptographic keys that protect access tokens are generated, managed, and protected from disclosure and misuse.

+ + +

Identity assertions and access tokens are typically digitally signed. The private keys used to sign these assertions and tokens are protected commensurate with the impact of the system and information resources that can be accessed.

+ + + + + +

cryptographic keys that protect access tokens are generated;

+ + + + +

cryptographic keys that protect access tokens are managed;

+ + + + +

cryptographic keys that protect access tokens are protected from disclosure; and

+ + + + +

cryptographic keys that protect access tokens are protected from disclosure and misuse

+ + + + + + + +

Identification and authentication policy;

+

procedures addressing cryptographic key establishment and management;

+

system design documentation;

+

cryptographic mechanisms;

+

system configuration settings and associated documentation;

+

system security plan;

+

other relevant documents or records

+ + + + + + +

System/network administrators;

+

organizational personnel with information security responsibilities;

+

organizational personnel with responsibilities for cryptographic key establishment and/or management

+ + + + + + +

Organizational processes for cryptographic key management;

+

cryptographic modules generating, storing, and using cryptographic keys

+ + + + + Verification of Identity Assertions and Access Tokens + + + + + + + + +

The source and integrity of identity assertions and access tokens are verified before granting access to system and information resources.

+ + +

This includes verification of digital signatures protecting identity assertions and access tokens, as well as included metadata. Metadata includes information about the access request such as information unique to user, system or information resource being accessed, or the transaction itself such as time. Protected system and information resources could include connected networks, applications, and APIs.

+ + + + + +

the source of identity assertions is verified before granting access to system and information resources;

+ + + + +

the source of access tokens is verified before granting access to system and information resources;

+ + + + +

the integrity of identity assertions is verified before granting access to system and information resources;

+ + + + +

the integrity of access tokens is verified before granting access to system and information resources

+ + + + + + + +

Identification and authentication policy;

+

system security plan; system design documentation;

+

system configuration settings and associated documentation;

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities;

+

organizational personnel with information security responsibilities;

+

system/ network administrators;

+

organizational personnel with account management responsibilities;

+

system developers

+ + + + + + +

Identity provider mechanisms supporting and/or implementing identification and authentication capabilities and access rights

+ + + + + Token Management + + + + + + + + + + + +

In accordance with , assertions and access tokens are:

+ + +

generated;

+ + + +

issued;

+ + + +

refreshed;

+ + + +

revoked;

+ + + +

time-restricted; and

+ + + +

audience-restricted.

+ + + +

An access token is a piece of data that represents the authorization granted to a user or NPE to access specific systems or information resources. Access tokens enable controlled access to services and resources. Properly managing the lifecycle of access tokens, including their issuance, validation, and revocation, is crucial to maintaining confidentiality of data and systems. Restricting token validity to a specific audience, e.g., an application or security domain, and restricting token validity lifetimes are important practices. Access tokens are revoked or invalidated if they are compromised, lost, or are no longer needed to mitigate the risks associated with stolen or misused tokens.

+ + + + + +

assertions are generated in accordance with ;

+ + + + +

access tokens are generated in accordance with ;

+ + + + +

assertions are issued in accordance with ;

+ + + + +

access tokens are issued in accordance with ;

+ + + + +

assertions are refreshed in accordance with ;

+ + + + +

access tokens are refreshed in accordance with ;

+ + + + +

assertions are revoked in accordance with ;

+ + + + +

access tokens are revoked in accordance with ;

+ + + + +

assertions are time-restricted in accordance with ;

+ + + + +

access tokens are time-restricted in accordance with ;

+ + + + +

assertions are audience-restricted in accordance with ;

+ + + + +

access tokens are audience-restricted in accordance with ;

+ + + + + + + +

Identification and authentication policy;

+

access control policy;

+

procedures for assertion and token management;

+

system design documentation;

+

system configuration settings and associated documentation;

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system operations responsibilities;

+

organizational personnel with information security responsibilities;

+

system/ network administrators;

+

organizational personnel with account management responsibilities;

+

system developers

+ + + + + + +

Mechanisms and software supporting and/or implementing token generation

+ + + + + + + Incident Response + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the incident response policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the incident response procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the incident response policy and procedures is defined;

+ + + + + + + +

the frequency at which the current incident response policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current incident response policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current incident response procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require the incident response procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

incident response policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the incident response policy and procedures; and

+ + + +

Review and update the current incident response:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Incident response policy and procedures address the controls in the IR family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of incident response policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to incident response policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

an incident response policy is developed and documented;

+ + + + +

the incident response policy is disseminated to ;

+ + + + +

incident response procedures to facilitate the implementation of the incident response policy and associated incident response controls are developed and documented;

+ + + + +

the incident response procedures are disseminated to ;

+ + + + + + + + +

the incident response policy addresses purpose;

+ + + + +

the incident response policy addresses scope;

+ + + + +

the incident response policy addresses roles;

+ + + + +

the incident response policy addresses responsibilities;

+ + + + +

the incident response policy addresses management commitment;

+ + + + +

the incident response policy addresses coordination among organizational entities;

+ + + + +

the incident response policy addresses compliance;

+ + + + + + +

the incident response policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the incident response policy and procedures;

+ + + + + + + + +

the current incident response policy is reviewed and updated ;

+ + + + +

the current incident response policy is reviewed and updated following ;

+ + + + + + + + +

the current incident response procedures are reviewed and updated ;

+ + + + +

the current incident response procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Incident response policy and procedures

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Incident Response Training + + + + + +

a time period within which incident response training is to be provided to system users assuming an incident response role or responsibility is defined;

+ + + + + + + +

frequency at which to provide incident response training to users is defined;

+ + + + + + + +

frequency at which to review and update incident response training content is defined;

+ + + + + + + +

events that initiate a review of the incident response training content are defined;

+ + + + + + + + + + + + + + + + + + + + + +

Provide incident response training to system users consistent with assigned roles and responsibilities:

+ + +

Within of assuming an incident response role or responsibility or acquiring system access;

+ + + +

When required by system changes; and

+ + + +

thereafter; and

+ + + + +

Review and update incident response training content and following .

+ + + +

Incident response training is associated with the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail are included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle incidents; and incident responders may receive more specific training on forensics, data collection techniques, reporting, system recovery, and system restoration. Incident response training includes user training in identifying and reporting suspicious activities from external and internal sources. Incident response training for users may be provided as part of AT-2 or AT-3 . Events that may precipitate an update to incident response training content include, but are not limited to, incident response plan testing or response to an actual incident (lessons learned), assessment or audit findings, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

+ + + + + + + +

incident response training is provided to system users consistent with assigned roles and responsibilities within of assuming an incident response role or responsibility or acquiring system access;

+ + + + +

incident response training is provided to system users consistent with assigned roles and responsibilities when required by system changes;

+ + + + +

incident response training is provided to system users consistent with assigned roles and responsibilities thereafter;

+ + + + + + + + +

incident response training content is reviewed and updated ;

+ + + + +

incident response training content is reviewed and updated following .

+ + + + + + + + + + +

Incident response policy

+

procedures addressing incident response training

+

incident response training curriculum

+

incident response training materials

+

privacy plan

+

incident response plan

+

incident response training records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response training and operational responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + Simulated Events + + + + + + + + +

Incorporate simulated events into incident response training to facilitate the required response by personnel in crisis situations.

+ + +

Organizations establish requirements for responding to incidents in incident response plans. Incorporating simulated events into incident response training helps to ensure that personnel understand their individual responsibilities and what specific actions to take in crisis situations.

+ + + +

simulated events are incorporated into incident response training to facilitate the required response by personnel in crisis situations.

+ + + + + + +

Incident response policy

+

procedures addressing incident response training

+

incident response training curriculum

+

incident response training materials

+

incident response plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response training and operational responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms that support and/or implement simulated events for incident response training

+ + + + + Automated Training Environments + + + + + +

automated mechanisms used in an incident response training environment are defined;

+ + + + + + + + + + +

Provide an incident response training environment using .

+ + +

Automated mechanisms can provide a more thorough and realistic incident response training environment. This can be accomplished, for example, by providing more complete coverage of incident response issues, selecting more realistic training scenarios and environments, and stressing the response capability.

+ + + +

an incident response training environment is provided using .

+ + + + + + +

Incident response policy

+

procedures addressing incident response training

+

incident response training curriculum

+

incident response training materials

+

automated mechanisms supporting incident response training

+

incident response plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response training and operational responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms that provide a thorough and realistic incident response training environment

+ + + + + Breach + + + + + + + + +

Provide incident response training on how to identify and respond to a breach, including the organization’s process for reporting a breach.

+ + +

For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes. The incident response training emphasizes the obligation of individuals to report both confirmed and suspected breaches involving information in any medium or form, including paper, oral, and electronic. Incident response training includes tabletop exercises that simulate a breach. See IR-2(1).

+ + + + + +

incident response training on how to identify and respond to a breach is provided;

+ + + + +

incident response training on the organization’s process for reporting a breach is provided.

+ + + + + + + + +

Incident response policy

+

contingency planning policy

+

procedures addressing incident response testing

+

procedures addressing contingency plan testing

+

incident response testing material

+

incident response test results

+

incident response test plan

+

incident response plan

+

contingency plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response training responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + Incident Response Testing + + + + + +

frequency at which to test the effectiveness of the incident response capability for the system is defined;

+ + + + + + + +

tests used to test the effectiveness of the incident response capability for the system are defined;

+ + + + + + + + + + + + + + + + + + +

Test the effectiveness of the incident response capability for the system using the following tests: .

+ + +

Organizations test incident response capabilities to determine their effectiveness and identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations and assets and individuals due to incident response. The use of qualitative and quantitative data aids in determining the effectiveness of incident response processes.

+ + + +

the effectiveness of the incident response capability for the system is tested using .

+ + + + + + +

Incident response policy

+

contingency planning policy

+

procedures addressing incident response testing

+

procedures addressing contingency plan testing

+

incident response testing material

+

incident response test results

+

incident response test plan

+

incident response plan

+

contingency plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response testing responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + Automated Testing + + + + + +

automated mechanisms used to test the incident response capability are defined;

+ + + + + + + + + + +

Test the incident response capability using .

+ + +

Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities. This can be accomplished by providing more complete coverage of incident response issues, selecting realistic test scenarios and environments, and stressing the response capability.

+ + + +

the incident response capability is tested using .

+ + + + + + +

Incident response policy

+

contingency planning policy

+

procedures addressing incident response testing

+

procedures addressing contingency plan testing

+

incident response testing documentation

+

incident response test results

+

incident response test plan

+

incident response plan

+

contingency plan

+

system security plan

+

automated mechanisms supporting incident response tests

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response testing responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Automated mechanisms that more thoroughly and effectively test the incident response capability

+ + + + + Coordination with Related Plans + + + + + + + + +

Coordinate incident response testing with organizational elements responsible for related plans.

+ + +

Organizational plans related to incident response testing include business continuity plans, disaster recovery plans, continuity of operations plans, contingency plans, crisis communications plans, critical infrastructure plans, and occupant emergency plans.

+ + + +

incident response testing is coordinated with organizational elements responsible for related plans.

+ + + + + + +

Incident response policy

+

contingency planning policy

+

procedures addressing incident response testing

+

incident response testing documentation

+

incident response plan

+

business continuity plans

+

contingency plans

+

disaster recovery plans

+

continuity of operations plans

+

crisis communications plans

+

critical infrastructure plans

+

occupant emergency plans

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response testing responsibilities

+

organizational personnel with responsibilities for testing organizational plans related to incident response testing

+

organizational personnel with information security and privacy responsibilities

+ + + + + Continuous Improvement + + + + + + + + +

Use qualitative and quantitative data from testing to:

+ + +

Determine the effectiveness of incident response processes;

+ + + +

Continuously improve incident response processes; and

+ + + +

Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format.

+ + + +

To help incident response activities function as intended, organizations may use metrics and evaluation criteria to assess incident response programs as part of an effort to continually improve response performance. These efforts facilitate improvement in incident response efficacy and lessen the impact of incidents.

+ + + + + + + +

qualitative data from testing are used to determine the effectiveness of incident response processes;

+ + + + +

quantitative data from testing are used to determine the effectiveness of incident response processes;

+ + + + + + + + +

qualitative data from testing are used to continuously improve incident response processes;

+ + + + +

quantitative data from testing are used to continuously improve incident response processes;

+ + + + + + + + +

qualitative data from testing are used to provide incident response measures and metrics that are accurate;

+ + + + +

quantitative data from testing are used to provide incident response measures and metrics that are accurate;

+ + + + +

qualitative data from testing are used to provide incident response measures and metrics that are consistent;

+ + + + +

quantitative data from testing are used to provide incident response measures and metrics that are consistent;

+ + + + +

qualitative data from testing are used to provide incident response measures and metrics in a reproducible format;

+ + + + +

quantitative data from testing are used to provide incident response measures and metrics in a reproducible format.

+ + + + + + + + + + +

Incident response policy

+

contingency planning policy

+

procedures addressing incident response testing

+

incident response testing documentation

+

incident response plan

+

business continuity plans

+

contingency plans

+

disaster recovery plans

+

continuity of operations plans

+

crisis communications plans

+

critical infrastructure plans

+

occupant emergency plans

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response testing responsibilities

+

organizational personnel with responsibilities for testing organizational plans related to incident response testing

+

organizational personnel with information security and privacy responsibilities

+ + + + + + Incident Handling + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery;

+ + + +

Coordinate incident handling activities with contingency planning activities;

+ + + +

Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and

+ + + +

Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization.

+ + + +

Organizations recognize that incident response capabilities are dependent on the capabilities of organizational systems and the mission and business processes being supported by those systems. Organizations consider incident response as part of the definition, design, and development of mission and business processes and systems. Incident-related information can be obtained from a variety of sources, including audit monitoring, physical access monitoring, and network monitoring; user or administrator reports; and reported supply chain events. An effective incident handling capability includes coordination among many organizational entities (e.g., mission or business owners, system owners, authorizing officials, human resources offices, physical security offices, personnel security offices, legal departments, risk executive [function], operations personnel, procurement offices). Suspected security incidents include the receipt of suspicious email communications that can contain malicious code. Suspected supply chain incidents include the insertion of counterfeit hardware or malicious code into organizational systems or system components. For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in unauthorized disclosure, the loss of control, unauthorized acquisition, compromise, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes.

+ + + + + + + +

an incident handling capability for incidents is implemented that is consistent with the incident response plan;

+ + + + +

the incident handling capability for incidents includes preparation;

+ + + + +

the incident handling capability for incidents includes detection and analysis;

+ + + + +

the incident handling capability for incidents includes containment;

+ + + + +

the incident handling capability for incidents includes eradication;

+ + + + +

the incident handling capability for incidents includes recovery;

+ + + + + + +

incident handling activities are coordinated with contingency planning activities;

+ + + + + + +

lessons learned from ongoing incident handling activities are incorporated into incident response procedures, training, and testing;

+ + + + +

the changes resulting from the incorporated lessons learned are implemented accordingly;

+ + + + + + + + +

the rigor of incident handling activities is comparable and predictable across the organization;

+ + + + +

the intensity of incident handling activities is comparable and predictable across the organization;

+ + + + +

the scope of incident handling activities is comparable and predictable across the organization;

+ + + + +

the results of incident handling activities are comparable and predictable across the organization.

+ + + + + + + + + + +

Incident response policy

+

contingency planning policy

+

procedures addressing incident handling

+

incident response plan

+

contingency plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with contingency planning responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Incident handling capability for the organization

+ + + + Automated Incident Handling Processes + + + + + +

automated mechanisms used to support the incident handling process are defined;

+ + + + + + + + + +

Support the incident handling process using .

+ + +

Automated mechanisms that support incident handling processes include online incident management systems and tools that support the collection of live response data, full network packet capture, and forensic analysis.

+ + + +

the incident handling process is supported using .

+ + + + + + +

Incident response policy

+

procedures addressing incident handling

+

automated mechanisms supporting incident handling

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

incident response plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Automated mechanisms that support and/or implement the incident handling process

+ + + + + Dynamic Reconfiguration + + + + + +

types of dynamic reconfiguration for system components are defined;

+ + + + + + + +

system components that require dynamic reconfiguration are defined;

+ + + + + + + + + + + + +

Include the following types of dynamic reconfiguration for as part of the incident response capability: .

+ + +

Dynamic reconfiguration includes changes to router rules, access control lists, intrusion detection or prevention system parameters, and filter rules for guards or firewalls. Organizations may perform dynamic reconfiguration of systems to stop attacks, misdirect attackers, and isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include specific time frames for achieving the reconfiguration of systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats.

+ + + +

for are included as part of the incident response capability.

+ + + + + + +

Incident response policy

+

procedures addressing incident handling

+

mechanisms supporting incident handling

+

list of system components to be dynamically reconfigured as part of incident response capability

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

incident response plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms that support and/or implement the dynamic reconfiguration of components as part of incident response

+ + + + + Continuity of Operations + + + + + +

classes of incidents requiring an organization-defined action (defined in IR-04(03)_ODP[02]) to be taken are defined;

+ + + + + + + + +

actions to be taken in response to organization-defined classes of incidents are defined;

+ + + + + + + + + +

Identify and take the following actions in response to those incidents to ensure continuation of organizational mission and business functions: .

+ + +

Classes of incidents include malfunctions due to design or implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions include orderly system degradation, system shutdown, fall back to manual mode or activation of alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved for when systems are under attack. Organizations consider whether continuity of operations requirements during an incident conflict with the capability to automatically disable the system as specified as part of IR-4(5).

+ + + + + +

are identified;

+ + + + +

are taken in response to those incidents (defined in IR-04(03)_ODP[01]) to ensure the continuation of organizational mission and business functions.

+ + + + + + + + +

Incident response policy

+

procedures addressing incident handling

+

incident response plan

+

privacy plan

+

list of classes of incidents

+

list of appropriate incident response actions

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms that support and/or implement continuity of operations

+ + + + + Information Correlation + + + + + + + +

Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.

+ + +

Sometimes, a threat event, such as a hostile cyber-attack, can only be observed by bringing together information from different sources, including various reports and reporting procedures established by organizations.

+ + + +

incident information and individual incident responses are correlated to achieve an organization-wide perspective on incident awareness and response.

+ + + + + + +

Incident response policy

+

procedures addressing incident handling

+

incident response plan

+

privacy plan

+

mechanisms supporting incident and event correlation

+

system design documentation

+

system configuration settings and associated documentation

+

system security plan

+

privacy plan

+

incident management correlation logs

+

event management correlation logs

+

security information and event management logs

+

incident management correlation reports

+

event management correlation reports

+

security information and event management reports

+

audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with whom incident information and individual incident responses are to be correlated

+ + + + + + +

Organizational processes for correlating incident information and individual incident responses

+

mechanisms that support and or implement the correlation of incident response information with individual incident responses

+ + + + + Automatic Disabling of System + + + + + +

security violations that automatically disable a system are defined;

+ + + + + + + + + + +

Implement a configurable capability to automatically disable the system if are detected.

+ + +

Organizations consider whether the capability to automatically disable the system conflicts with continuity of operations requirements specified as part of CP-2 or IR-4(3) . Security violations include cyber-attacks that have compromised the integrity of the system or exfiltrated organizational information and serious errors in software programs that could adversely impact organizational missions or functions or jeopardize the safety of individuals.

+ + + +

a configurable capability is implemented to automatically disable the system if are detected.

+ + + + + + +

Incident response policy

+

procedures addressing incident handling

+

automated mechanisms supporting incident handling

+

system design documentation

+

system configuration settings and associated documentation

+

system security plan

+

incident response plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Incident handling capability for the organization

+

automated mechanisms supporting and/or implementing automatic disabling of the system

+ + + + + Insider Threats + + + + + + + +

Implement an incident handling capability for incidents involving insider threats.

+ + +

Explicit focus on handling incidents involving insider threats provides additional emphasis on this type of threat and the need for specific incident handling capabilities to provide appropriate and timely responses.

+ + + +

an incident handling capability is implemented for incidents involving insider threats.

+ + + + + + +

Incident response policy

+

procedures addressing incident handling

+

mechanisms supporting incident handling

+

system design documentation

+

system configuration settings and associated documentation

+

incident response plan

+

system security plan

+

audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Incident handling capability for the organization

+ + + + + Insider Threats — Intra-organization Coordination + + + + + +

entities that require coordination for an incident handling capability for insider threats are defined;

+ + + + + + + + + +

Coordinate an incident handling capability for insider threats that includes the following organizational entities .

+ + +

Incident handling for insider threat incidents (e.g., preparation, detection and analysis, containment, eradication, and recovery) requires coordination among many organizational entities, including mission or business owners, system owners, human resources offices, procurement offices, personnel offices, physical security offices, senior agency information security officer, operations personnel, risk executive (function), senior agency official for privacy, and legal counsel. In addition, organizations may require external support from federal, state, and local law enforcement agencies.

+ + + + + +

an incident handling capability is coordinated for insider threats;

+ + + + +

the coordinated incident handling capability includes .

+ + + + + + + + +

Incident response policy

+

procedures addressing incident handling

+

incident response plan

+

insider threat program plan

+

insider threat CONOPS

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel/elements with whom the incident handling capability is to be coordinated

+ + + + + + +

Organizational processes for coordinating incident handling

+ + + + + Correlation with External Organizations + + + + + +

external organizations with whom organizational incident information is to be coordinated and shared are defined;

+ + + + + + + +

incident information to be correlated and shared with organization-defined external organizations are defined;

+ + + + + + + + + + + +

Coordinate with to correlate and share to achieve a cross-organization perspective on incident awareness and more effective incident responses.

+ + +

The coordination of incident information with external organizations—including mission or business partners, military or coalition partners, customers, and developers—can provide significant benefits. Cross-organizational coordination can serve as an important risk management capability. This capability allows organizations to leverage information from a variety of sources to effectively respond to incidents and breaches that could potentially affect the organization’s operations, assets, and individuals.

+ + + +

there is coordination with to correlate and share to achieve a cross-organization perspective on incident awareness and more effective incident responses.

+ + + + + + +

Incident response policy

+

procedures addressing incident handling

+

list of external organizations

+

records of incident handling coordination with external organizations

+

incident response plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security and privacy responsibilities

+

personnel from external organizations with whom incident response information is to be coordinated, shared, and correlated

+ + + + + + +

Organizational processes for coordinating incident handling information with external organizations

+ + + + + Dynamic Response Capability + + + + + +

dynamic response capabilities to be employed to respond to incidents are defined;

+ + + + + + + + + +

Employ to respond to incidents.

+ + +

The dynamic response capability addresses the timely deployment of new or replacement organizational capabilities in response to incidents. This includes capabilities implemented at the mission and business process level and at the system level.

+ + + +

are employed to respond to incidents.

+ + + + + + +

Incident response policy

+

procedures addressing incident handling

+

automated mechanisms supporting dynamic response capabilities

+

system design documentation

+

system configuration settings and associated documentation

+

incident response plan

+

system security plan

+

audit records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for dynamic response capability

+

automated mechanisms supporting and/or implementing the dynamic response capability for the organization

+ + + + + Supply Chain Coordination + + + + + + + + + + + +

Coordinate incident handling activities involving supply chain events with other organizations involved in the supply chain.

+ + +

Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents can occur anywhere through or to the supply chain and include compromises or breaches that involve primary or sub-tier providers, information technology products, system components, development processes or personnel, and distribution processes or warehousing facilities. Organizations consider including processes for protecting and sharing incident information in information exchange agreements and their obligations for reporting incidents to government oversight bodies (e.g., Federal Acquisition Security Council).

+ + + +

incident handling activities involving supply chain events are coordinated with other organizations involved in the supply chain.

+ + + + + + +

Incident response policy

+

procedures addressing supply chain coordination and supply chain risk information sharing with the Federal Acquisition Security Council

+

acquisition contracts

+

service-level agreements

+

incident response plan

+

supply chain risk management plan

+

system security plan

+

incident response plans of other organization involved in supply chain activities

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with mission and business responsibilities

+

organizational personnel with legal responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+

organizational personnel with acquisition responsibilities

+ + + + + Integrated Incident Response Team + + + + + +

the time period within which an integrated incident response team can be deployed is defined;

+ + + + + + + + + + +

Establish and maintain an integrated incident response team that can be deployed to any location identified by the organization in .

+ + +

An integrated incident response team is a team of experts that assesses, documents, and responds to incidents so that organizational systems and networks can recover quickly and implement the necessary controls to avoid future incidents. Incident response team personnel include forensic and malicious code analysts, tool developers, systems security and privacy engineers, and real-time operations personnel. The incident handling capability includes performing rapid forensic preservation of evidence and analysis of and response to intrusions. For some organizations, the incident response team can be a cross-organizational entity.

+

An integrated incident response team facilitates information sharing and allows organizational personnel (e.g., developers, implementers, and operators) to leverage team knowledge of the threat and implement defensive measures that enable organizations to deter intrusions more effectively. Moreover, integrated teams promote the rapid detection of intrusions, the development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing cyber intelligence development. Integrated incident response teams are better able to identify adversary tactics, techniques, and procedures that are linked to the operations tempo or specific mission and business functions and to define responsive actions in a way that does not disrupt those mission and business functions. Incident response teams can be distributed within organizations to make the capability resilient.

+ + + + + +

an integrated incident response team is established and maintained;

+ + + + +

the integrated incident response team can be deployed to any location identified by the organization in .

+ + + + + + + + +

Incident response policy

+

procedures addressing incident handling

+

procedures addressing incident response planning

+

incident response plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security and privacy responsibilities

+

members of the integrated incident response team

+ + + + + Malicious Code and Forensic Analysis + + + + + + + +

Analyze malicious code and/or other residual artifacts remaining in the system after the incident.

+ + +

When conducted carefully in an isolated environment, analysis of malicious code and other residual artifacts of a security incident or breach can give the organization insight into adversary tactics, techniques, and procedures. It can also indicate the identity or some defining characteristics of the adversary. In addition, malicious code analysis can help the organization develop responses to future incidents.

+ + + + + +

malicious code remaining in the system is analyzed after the incident;

+ + + + +

other residual artifacts remaining in the system (if any) are analyzed after the incident.

+ + + + + + + + +

Incident response policy

+

procedures addressing incident handling

+

procedures addressing code and forensic analysis

+

procedures addressing incident response

+

incident response plan

+

system design documentation

+

malicious code protection mechanisms, tools, and techniques

+

results from malicious code analyses

+

system security plan

+

system audit records

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel with responsibility for malicious code protection

+

organizational personnel responsible for incident response/management

+ + + + + + +

Organizational process for incident response

+

organizational processes for conducting forensic analysis

+

tools and techniques for analysis of malicious code characteristics and behavior

+ + + + + Behavior Analysis + + + + + +

environments or resources which may contain or may be related to anomalous or suspected adversarial behavior are defined;

+ + + + + + + + + +

Analyze anomalous or suspected adversarial behavior in or related to .

+ + +

If the organization maintains a deception environment, an analysis of behaviors in that environment, including resources targeted by the adversary and timing of the incident or event, can provide insight into adversarial tactics, techniques, and procedures. External to a deception environment, the analysis of anomalous adversarial behavior (e.g., changes in system performance or usage patterns) or suspected behavior (e.g., changes in searches for the location of specific resources) can give the organization such insight.

+ + + +

anomalous or suspected adversarial behavior in or related to are analyzed.

+ + + + + + +

Incident response policy

+

procedures addressing system monitoring tools and techniques

+

incident response plan

+

system monitoring logs or records

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

security plan

+

system component inventory

+

network diagram

+

system protocols documentation

+

list of acceptable thresholds for false positives and false negatives

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for detecting anomalous behavior

+ + + + + Security Operations Center + + + + + + + + +

Establish and maintain a security operations center.

+ + +

A security operations center (SOC) is the focal point for security operations and computer network defense for an organization. The purpose of the SOC is to defend and monitor an organization’s systems and networks (i.e., cyber infrastructure) on an ongoing basis. The SOC is also responsible for detecting, analyzing, and responding to cybersecurity incidents in a timely manner. The organization staffs the SOC with skilled technical and operational personnel (e.g., security analysts, incident response personnel, systems security engineers) and implements a combination of technical, management, and operational controls (including monitoring, scanning, and forensics tools) to monitor, fuse, correlate, analyze, and respond to threat and security-relevant event data from multiple sources. These sources include perimeter defenses, network devices (e.g., routers, switches), and endpoint agent data feeds. The SOC provides a holistic situational awareness capability to help organizations determine the security posture of the system and organization. A SOC capability can be obtained in a variety of ways. Larger organizations may implement a dedicated SOC while smaller organizations may employ third-party organizations to provide such a capability.

+ + + + + +

a security operations center is established;

+ + + + +

a security operations center is maintained.

+ + + + + + + + +

Incident response policy

+

contingency planning policy

+

procedures addressing incident handling

+

procedures addressing the security operations center operations

+

mechanisms supporting dynamic response capabilities

+

incident response plan

+

contingency plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with contingency planning responsibilities

+

security operations center personnel

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms that support and/or implement the security operations center capability

+

mechanisms that support and/or implement the incident handling process

+ + + + + Public Relations and Reputation Repair + + + + + + + + + +

Manage public relations associated with an incident; and

+ + + +

Employ measures to repair the reputation of the organization.

+ + + +

It is important for an organization to have a strategy in place for addressing incidents that have been brought to the attention of the general public, have cast the organization in a negative light, or have affected the organization’s constituents (e.g., partners, customers). Such publicity can be extremely harmful to the organization and affect its ability to carry out its mission and business functions. Taking proactive steps to repair the organization’s reputation is an essential aspect of reestablishing the trust and confidence of its constituents.

+ + + + + +

public relations associated with an incident are managed;

+ + + + +

measures are employed to repair the reputation of the organization.

+ + + + + + + + +

Incident response policy

+

procedures addressing incident response

+

procedures addressing incident handling

+

incident response plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident handling responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with communications or public relations responsibilities

+ + + + + + Incident Monitoring + + + + + + + + + + + + + + + + + + + + +

Track and document incidents.

+ + +

Documenting incidents includes maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics as well as evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including network monitoring, incident reports, incident response teams, user complaints, supply chain partners, audit monitoring, physical access monitoring, and user and administrator reports. IR-4 provides information on the types of incidents that are appropriate for monitoring.

+ + + + + +

incidents are tracked;

+ + + + +

incidents are documented.

+ + + + + + + + +

Incident response policy

+

procedures addressing incident monitoring

+

incident response records and documentation

+

incident response plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident monitoring responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Incident monitoring capability for the organization

+

mechanisms supporting and/or implementing the tracking and documenting of system security incidents

+ + + + Automated Tracking, Data Collection, and Analysis + + + + + + + + + + +

automated mechanisms used to track incidents are defined;

+ + + + + + +

automated mechanisms used to collect incident information are defined;

+ + + + + + +

automated mechanisms used to analyze incident information are defined;

+ + + + + + + + + + +

Track incidents and collect and analyze incident information using .

+ + +

Automated mechanisms for tracking incidents and collecting and analyzing incident information include Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices.

+ + + + + +

incidents are tracked using ;

+ + + + +

incident information is collected using ;

+ + + + +

incident information is analyzed using .

+ + + + + + + + +

Incident response policy

+

procedures addressing incident monitoring

+

incident response records and documentation

+

system security plan

+

incident response plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident monitoring responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Incident monitoring capability for the organization

+

automated mechanisms supporting and/or implementing the tracking and documenting of system security incidents

+ + + + + + Incident Reporting + + + + + +

time period for personnel to report suspected incidents to the organizational incident response capability is defined;

+ + + + + + + +

authorities to whom incident information is to be reported are defined;

+ + + + + + + + + + + + + + + + + + + + +

Require personnel to report suspected incidents to the organizational incident response capability within ; and

+ + + +

Report incident information to .

+ + + +

The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Incident information can inform risk assessments, control effectiveness assessments, security requirements for acquisitions, and selection criteria for technology products.

+ + + + + +

personnel is/are required to report suspected incidents to the organizational incident response capability within ;

+ + + + +

incident information is reported to .

+ + + + + + + + +

Incident response policy

+

procedures addressing incident reporting

+

incident reporting records and documentation

+

incident response plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident reporting responsibilities

+

organizational personnel with information security and privacy responsibilities

+

personnel who have/should have reported incidents

+

personnel (authorities) to whom incident information is to be reported

+

system users

+ + + + + + +

Organizational processes for incident reporting

+

mechanisms supporting and/or implementing incident reporting

+ + + + Automated Reporting + + + + + +

automated mechanisms used for reporting incidents are defined;

+ + + + + + + + + + +

Report incidents using .

+ + +

The recipients of incident reports are specified in IR-6b . Automated reporting mechanisms include email, posting on websites (with automatic updates), and automated incident response tools and programs.

+ + + +

incidents are reported using .

+ + + + + + +

Incident response policy

+

procedures addressing incident reporting

+

automated mechanisms supporting incident reporting

+

system design documentation

+

system configuration settings and associated documentation

+

incident response plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident reporting responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for incident reporting

+

automated mechanisms supporting and/or implementing the reporting of security incidents

+ + + + + Vulnerabilities Related to Incidents + + + + + +

personnel or roles to whom system vulnerabilities associated with reported incidents are reported to is/are defined;

+ + + + + + + + + +

Report system vulnerabilities associated with reported incidents to .

+ + +

Reported incidents that uncover system vulnerabilities are analyzed by organizational personnel including system owners, mission and business owners, senior agency information security officers, senior agency officials for privacy, authorizing officials, and the risk executive (function). The analysis can serve to prioritize and initiate mitigation actions to address the discovered system vulnerability.

+ + + +

system vulnerabilities associated with reported incidents are reported to .

+ + + + + + +

Incident response policy

+

procedures addressing incident reporting

+

incident response plan

+

system security plan

+

privacy plan

+

security incident reports and associated system vulnerabilities

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident reporting responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

personnel to whom vulnerabilities associated with security incidents are to be reported

+ + + + + + +

Organizational processes for incident reporting

+

mechanisms supporting and/or implementing the reporting of vulnerabilities associated with security incidents

+ + + + + Supply Chain Coordination + + + + + + + + +

Provide incident information to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident.

+ + +

Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Entities that provide supply chain governance include the Federal Acquisition Security Council (FASC). Supply chain incidents include compromises or breaches that involve information technology products, system components, development processes or personnel, distribution processes, or warehousing facilities. Organizations determine the appropriate information to share and consider the value gained from informing external organizations about supply chain incidents, including the ability to improve processes or to identify the root cause of an incident.

+ + + +

incident information is provided to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident.

+ + + + + + +

Incident response policy

+

procedures addressing supply chain coordination and supply chain risk information sharing with the Federal Acquisition Security Council

+

acquisition policy

+

acquisition contracts

+

service-level agreements

+

incident response plan

+

supply chain risk management plan

+

system security plan

+

plans of other organizations involved in supply chain activities

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident reporting responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+

organization personnel with acquisition responsibilities

+ + + + + + +

Organizational processes for incident reporting

+

organizational processes for supply chain risk information sharing

+

mechanisms supporting and/or implementing the reporting of incident information involved in the supply chain

+ + + + + + Incident Response Assistance + + + + + + + + + + + + + + + + + +

Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of incidents.

+ + +

Incident response support resources provided by organizations include help desks, assistance groups, automated ticketing systems to open and track incident response tickets, and access to forensics services or consumer redress services, when required.

+ + + + + +

an incident response support resource, integral to the organizational incident response capability, is provided;

+ + + + +

the incident response support resource offers advice and assistance to users of the system for the response and reporting of incidents.

+ + + + + + + + +

Incident response policy

+

procedures addressing incident response assistance

+

incident response plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response assistance and support responsibilities

+

organizational personnel with access to incident response support and assistance capability

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for incident response assistance

+

mechanisms supporting and/or implementing incident response assistance

+ + + + Automation Support for Availability of Information and Support + + + + + +

automated mechanisms used to increase the availability of incident response information and support are defined;

+ + + + + + + + + +

Increase the availability of incident response information and support using .

+ + +

Automated mechanisms can provide a push or pull capability for users to obtain incident response assistance. For example, individuals may have access to a website to query the assistance capability, or the assistance capability can proactively send incident response information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.

+ + + +

the availability of incident response information and support is increased using .

+ + + + + + +

Incident response policy

+

procedures addressing incident response assistance

+

automated mechanisms supporting incident response support and assistance

+

system design documentation

+

system configuration settings and associated documentation

+

incident response plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response support and assistance responsibilities

+

organizational personnel with access to incident response support and assistance capability

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for incident response assistance

+

automated mechanisms supporting and/or implementing an increase in the availability of incident response information and support

+ + + + + Coordination with External Providers + + + + + + + + + +

Establish a direct, cooperative relationship between its incident response capability and external providers of system protection capability; and

+ + + +

Identify organizational incident response team members to the external providers.

+ + + +

External providers of a system protection capability include the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks. It may be beneficial to have agreements in place with external providers to clarify the roles and responsibilities of each party before an incident occurs.

+ + + + + +

a direct, cooperative relationship is established between its incident response capability and external providers of the system protection capability;

+ + + + +

organizational incident response team members are identified to the external providers.

+ + + + + + + + +

Incident response policy

+

procedures addressing incident response assistance

+

incident response plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response support and assistance responsibilities

+

external providers of system protection capability

+

organizational personnel with information security and privacy responsibilities

+ + + + + + Incident Response Plan + + + + + + + + + + + +

personnel or roles that review and approve the incident response plan is/are identified;

+ + + + + + + +

the frequency at which to review and approve the incident response plan is defined;

+ + + + + + + +

entities, personnel, or roles with designated responsibility for incident response are defined;

+ + + + + + + + +

incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed is/are defined;

+ + + + + + +

organizational elements to which copies of the incident response plan are to be distributed are defined;

+ + + + + + +

incident response personnel (identified by name and/or by role) to whom changes to the incident response plan is/are communicated are defined;

+ + + + + + +

organizational elements to which changes to the incident response plan are communicated are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + +

Develop an incident response plan that:

+ + +

Provides the organization with a roadmap for implementing its incident response capability;

+ + + +

Describes the structure and organization of the incident response capability;

+ + + +

Provides a high-level approach for how the incident response capability fits into the overall organization;

+ + + +

Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;

+ + + +

Defines reportable incidents;

+ + + +

Provides metrics for measuring the incident response capability within the organization;

+ + + +

Defines the resources and management support needed to effectively maintain and mature an incident response capability;

+ + + +

Addresses the sharing of incident information;

+ + + +

Is reviewed and approved by ; and

+ + + +

Explicitly designates responsibility for incident response to .

+ + + + +

Distribute copies of the incident response plan to ;

+ + + +

Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;

+ + + +

Communicate incident response plan changes to ; and

+ + + +

Protect the incident response plan from unauthorized disclosure and modification.

+ + + +

It is important that organizations develop and implement a coordinated approach to incident response. Organizational mission and business functions determine the structure of incident response capabilities. As part of the incident response capabilities, organizations consider the coordination and sharing of information with external organizations, including external service providers and other organizations involved in the supply chain. For incidents involving personally identifiable information (i.e., breaches), include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly.

+ + + + + + + +

an incident response plan is developed that provides the organization with a roadmap for implementing its incident response capability;

+ + + + +

an incident response plan is developed that describes the structure and organization of the incident response capability;

+ + + + +

an incident response plan is developed that provides a high-level approach for how the incident response capability fits into the overall organization;

+ + + + +

an incident response plan is developed that meets the unique requirements of the organization with regard to mission, size, structure, and functions;

+ + + + +

an incident response plan is developed that defines reportable incidents;

+ + + + +

an incident response plan is developed that provides metrics for measuring the incident response capability within the organization;

+ + + + +

an incident response plan is developed that defines the resources and management support needed to effectively maintain and mature an incident response capability;

+ + + + +

an incident response plan is developed that addresses the sharing of incident information;

+ + + + +

an incident response plan is developed that is reviewed and approved by ;

+ + + + +

an incident response plan is developed that explicitly designates responsibility for incident response to .

+ + + + + + + + +

copies of the incident response plan are distributed to ;

+ + + + +

copies of the incident response plan are distributed to ;

+ + + + + + +

the incident response plan is updated to address system and organizational changes or problems encountered during plan implementation, execution, or testing;

+ + + + + + +

incident response plan changes are communicated to ;

+ + + + +

incident response plan changes are communicated to ;

+ + + + + + + + +

the incident response plan is protected from unauthorized disclosure;

+ + + + +

the incident response plan is protected from unauthorized modification.

+ + + + + + + + + + +

Incident response policy

+

procedures addressing incident response planning

+

incident response plan

+

system security plan

+

privacy plan

+

records of incident response plan reviews and approvals

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response planning responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational incident response plan and related organizational processes

+ + + + Breaches + + + + + + + + + + + + + +

Include the following in the Incident Response Plan for breaches involving personally identifiable information:

+ + +

A process to determine if notice to individuals or other organizations, including oversight organizations, is needed;

+ + + +

An assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms; and

+ + + +

Identification of applicable privacy requirements.

+ + + +

Organizations may be required by law, regulation, or policy to follow specific procedures relating to breaches, including notice to individuals, affected organizations, and oversight bodies; standards of harm; and mitigation or other specific requirements.

+ + + + + +

the incident response plan for breaches involving personally identifiable information includes a process to determine if notice to individuals or other organizations, including oversight organizations, is needed;

+ + + + +

the incident response plan for breaches involving personally identifiable information includes an assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms;

+ + + + +

the incident response plan for breaches involving personally identifiable information includes the identification of applicable privacy requirements.

+ + + + + + + + +

Incident response policy

+

procedures addressing incident response planning

+

incident response plan

+

system security plan

+

privacy plan

+

records of incident response plan reviews and approvals

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response planning responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational incident response plan and related organizational processes

+ + + + + + Information Spillage Response + + + + + +

personnel or roles assigned the responsibility for responding to information spills is/are defined;

+ + + + + + + +

personnel or roles to be alerted of the information spill using a method of communication not associated with the spill is/are defined;

+ + + + + + + +

actions to be performed are defined;

+ + + + + + + + + + + + + + + + +

Respond to information spills by:

+ + +

Assigning with responsibility for responding to information spills;

+ + + +

Identifying the specific information involved in the system contamination;

+ + + +

Alerting of the information spill using a method of communication not associated with the spill;

+ + + +

Isolating the contaminated system or system component;

+ + + +

Eradicating the information from the contaminated system or component;

+ + + +

Identifying other systems or system components that may have been subsequently contaminated; and

+ + + +

Performing the following additional actions: .

+ + + +

Information spillage refers to instances where information is placed on systems that are not authorized to process such information. Information spills occur when information that is thought to be a certain classification or impact level is transmitted to a system and subsequently is determined to be of a higher classification or impact level. At that point, corrective action is required. The nature of the response is based on the classification or impact level of the spilled information, the security capabilities of the system, the specific nature of the contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.

+ + + + + +

is/are assigned the responsibility to respond to information spills;

+ + + + +

the specific information involved in the system contamination is identified in response to information spills;

+ + + + +

is/are alerted of the information spill using a method of communication not associated with the spill;

+ + + + +

the contaminated system or system component is isolated in response to information spills;

+ + + + +

the information is eradicated from the contaminated system or component in response to information spills;

+ + + + +

other systems or system components that may have been subsequently contaminated are identified in response to information spills;

+ + + + +

are performed in response to information spills.

+ + + + + + + + +

Incident response policy

+

procedures addressing information spillage

+

incident response plan

+

system security plan

+

records of information spillage alerts/notifications

+

list of personnel who should receive alerts of information spillage

+

list of actions to be performed regarding information spillage

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for information spillage response

+

mechanisms supporting and/or implementing information spillage response actions and related communications

+ + + + Responsible Personnel + + + + + + + + + Training + + + + + +

frequency at which to provide information spillage response training is defined;

+ + + + + + + + + + + + + +

Provide information spillage response training .

+ + +

Organizations establish requirements for responding to information spillage incidents in incident response plans. Incident response training on a regular basis helps to ensure that organizational personnel understand their individual responsibilities and what specific actions to take when spillage incidents occur.

+ + + +

information spillage response training is provided .

+ + + + + + +

Incident response policy

+

procedures addressing information spillage response training

+

information spillage response training curriculum

+

information spillage response training materials

+

incident response plan

+

system security plan

+

information spillage response training records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response training responsibilities

+

organizational personnel with information security responsibilities

+ + + + + Post-spill Operations + + + + + +

procedures to be implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions are defined;

+ + + + + + + + + +

Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: .

+ + +

Corrective actions for systems contaminated due to information spillages may be time-consuming. Personnel may not have access to the contaminated systems while corrective actions are being taken, which may potentially affect their ability to conduct organizational business.

+ + + +

are implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.

+ + + + + + +

Incident response policy

+

procedures addressing incident response

+

procedures addressing information spillage

+

incident response plan

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for post-spill operations

+ + + + + Exposure to Unauthorized Personnel + + + + + +

controls employed for personnel exposed to information not within assigned access authorizations are defined;

+ + + + + + + + + +

Employ the following controls for personnel exposed to information not within assigned access authorizations: .

+ + +

Controls include ensuring that personnel who are exposed to spilled information are made aware of the laws, executive orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information.

+ + + +

are employed for personnel exposed to information not within assigned access authorizations.

+ + + + + + +

Incident response policy

+

procedures addressing incident response

+

procedures addressing information spillage

+

incident response plan

+

system security plan

+

security safeguards regarding information spillage/exposure to unauthorized personnel

+

other relevant documents or records

+ + + + + + +

Organizational personnel with incident response responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for dealing with information exposed to unauthorized personnel

+

mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations

+ + + + + + Integrated Information Security Analysis Team + + + + + + + + + + Maintenance + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the maintenance policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the maintenance procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the maintenance policy and procedures is defined;

+ + + + + + + +

the frequency with which the current maintenance policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current maintenance policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency with which the current maintenance procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require the maintenance procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

maintenance policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the maintenance policy and procedures; and

+ + + +

Review and update the current maintenance:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Maintenance policy and procedures address the controls in the MA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of maintenance policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to maintenance policy and procedures assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a maintenance policy is developed and documented;

+ + + + +

the maintenance policy is disseminated to ;

+ + + + +

maintenance procedures to facilitate the implementation of the maintenance policy and associated maintenance controls are developed and documented;

+ + + + +

the maintenance procedures are disseminated to ;

+ + + + + + + + +

the maintenance policy addresses purpose;

+ + + + +

the maintenance policy addresses scope;

+ + + + +

the maintenance policy addresses roles;

+ + + + +

the maintenance policy addresses responsibilities;

+ + + + +

the maintenance policy addresses management commitment;

+ + + + +

the maintenance policy addresses coordination among organizational entities;

+ + + + +

the maintenance policy addresses compliance;

+ + + + + + +

the maintenance policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the maintenance policy and procedures;

+ + + + + + + + +

the current maintenance policy is reviewed and updated ;

+ + + + +

the current maintenance policy is reviewed and updated following ;

+ + + + + + + + +

the current maintenance procedures are reviewed and updated ;

+ + + + +

the current maintenance procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Maintenance policy and procedures

+

system security plan

+

privacy plan

+

organizational risk management strategy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with maintenance responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Controlled Maintenance + + + + + +

personnel or roles required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance or repairs is/are defined;

+ + + + + + + +

information to be removed from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement is defined;

+ + + + + + + +

information to be included in organizational maintenance records is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + +

Schedule, document, and review records of maintenance, repair, and replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;

+ + + +

Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;

+ + + +

Require that explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;

+ + + +

Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: ;

+ + + +

Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and

+ + + +

Include the following information in organizational maintenance records: .

+ + + +

Controlling system maintenance addresses the information security aspects of the system maintenance program and applies to all types of maintenance to system components conducted by local or nonlocal entities. Maintenance includes peripherals such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes the date and time of maintenance, a description of the maintenance performed, names of the individuals or group performing the maintenance, name of the escort, and system components or equipment that are removed or replaced. Organizations consider supply chain-related risks associated with replacement components for systems.

+ + + + + + + +

maintenance, repair, and replacement of system components are scheduled in accordance with manufacturer or vendor specifications and/or organizational requirements;

+ + + + +

maintenance, repair, and replacement of system components are documented in accordance with manufacturer or vendor specifications and/or organizational requirements;

+ + + + +

records of maintenance, repair, and replacement of system components are reviewed in accordance with manufacturer or vendor specifications and/or organizational requirements;

+ + + + + + + + +

all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location, are approved;

+ + + + +

all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location, are monitored;

+ + + + + + +

is/are required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;

+ + + + +

equipment is sanitized to remove from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement;

+ + + + +

all potentially impacted controls are checked to verify that the controls are still functioning properly following maintenance, repair, or replacement actions;

+ + + + +

is included in organizational maintenance records.

+ + + + + + + + +

Maintenance policy

+

procedures addressing controlled system maintenance

+

maintenance records

+

manufacturer/vendor maintenance specifications

+

equipment sanitization records

+

media sanitization records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel responsible for media sanitization

+

system/network administrators

+ + + + + + +

Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system

+

organizational processes for sanitizing system components

+

mechanisms supporting and/or implementing controlled maintenance

+

mechanisms implementing the sanitization of system components

+ + + + Record Content + + + + + + + + + Automated Maintenance Activities + + + + + + + + + + +

automated mechanisms used to schedule maintenance, repair, and replacement actions for the system are defined;

+ + + + + + +

automated mechanisms used to conduct maintenance, repair, and replacement actions for the system are defined;

+ + + + + + +

automated mechanisms used to document maintenance, repair, and replacement actions for the system are defined;

+ + + + + + + + + + + + +

Schedule, conduct, and document maintenance, repair, and replacement actions for the system using ; and

+ + + +

Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and completed.

+ + + +

The use of automated mechanisms to manage and control system maintenance programs and activities helps to ensure the generation of timely, accurate, complete, and consistent maintenance records.

+ + + + + + + +

are used to schedule maintenance, repair, and replacement actions for the system;

+ + + + +

are used to conduct maintenance, repair, and replacement actions for the system;

+ + + + +

are used to document maintenance, repair, and replacement actions for the system;

+ + + + + + + + +

up-to date, accurate, and complete records of all maintenance actions requested, scheduled, in process, and completed are produced.

+ + + + +

up-to date, accurate, and complete records of all repair actions requested, scheduled, in process, and completed are produced.

+ + + + +

up-to date, accurate, and complete records of all replacement actions requested, scheduled, in process, and completed are produced.

+ + + + + + + + + + +

Maintenance policy

+

procedures addressing controlled system maintenance

+

automated mechanisms supporting system maintenance activities

+

system configuration settings and associated documentation

+

maintenance records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Automated mechanisms supporting and/or implementing controlled maintenance

+

automated mechanisms supporting and/or implementing the production of records of maintenance and repair actions

+ + + + + + Maintenance Tools + + + + + +

frequency at which to review previously approved system maintenance tools is defined;

+ + + + + + + + + + + + + +

Approve, control, and monitor the use of system maintenance tools; and

+ + + +

Review previously approved system maintenance tools .

+ + + +

Approving, controlling, monitoring, and reviewing maintenance tools address security-related issues associated with maintenance tools that are not within system authorization boundaries and are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for the approval of maintenance tools and how that approval is documented. A periodic review of maintenance tools facilitates the withdrawal of approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items and may be pre-installed, brought in with maintenance personnel on media, cloud-based, or downloaded from a website. Such tools can be vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support maintenance and are a part of the system (including the software implementing utilities such as ping, ls, ipconfig, or the hardware and software implementing the monitoring port of an Ethernet switch) are not addressed by maintenance tools.

+ + + + + + + +

the use of system maintenance tools is approved;

+ + + + +

the use of system maintenance tools is controlled;

+ + + + +

the use of system maintenance tools is monitored;

+ + + + + + +

previously approved system maintenance tools are reviewed .

+ + + + + + + + +

Maintenance policy

+

procedures addressing system maintenance tools

+

system maintenance tools and associated documentation

+

maintenance records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for approving, controlling, and monitoring maintenance tools

+

mechanisms supporting and/or implementing the approval, control, and/or monitoring of maintenance tools

+ + + + Inspect Tools + + + + + + + + +

Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications.

+ + +

Maintenance tools can be directly brought into a facility by maintenance personnel or downloaded from a vendor’s website. If, upon inspection of the maintenance tools, organizations determine that the tools have been modified in an improper manner or the tools contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.

+ + + +

maintenance tools used by maintenance personnel are inspected for improper or unauthorized modifications.

+ + + + + + +

Maintenance policy

+

procedures addressing system maintenance tools

+

system maintenance tools and associated documentation

+

maintenance tool inspection records

+

maintenance records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for inspecting maintenance tools

+

mechanisms supporting and/or implementing the inspection of maintenance tools

+ + + + + Inspect Media + + + + + + + + +

Check media containing diagnostic and test programs for malicious code before the media are used in the system.

+ + +

If, upon inspection of media containing maintenance, diagnostic, and test programs, organizations determine that the media contains malicious code, the incident is handled consistent with organizational incident handling policies and procedures.

+ + + +

media containing diagnostic and test programs are checked for malicious code before the media are used in the system.

+ + + + + + +

Maintenance policy

+

procedures addressing system maintenance tools

+

system maintenance tools and associated documentation

+

maintenance records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational process for inspecting media for malicious code

+

mechanisms supporting and/or implementing the inspection of media used for maintenance

+ + + + + Prevent Unauthorized Removal + + + + + +

personnel or roles who can authorize removal of equipment from the facility is/are defined;

+ + + + + + + + + + +

Prevent the removal of maintenance equipment containing organizational information by:

+ + +

Verifying that there is no organizational information contained on the equipment;

+ + + +

Sanitizing or destroying the equipment;

+ + + +

Retaining the equipment within the facility; or

+ + + +

Obtaining an exemption from explicitly authorizing removal of the equipment from the facility.

+ + + +

Organizational information includes all information owned by organizations and any information provided to organizations for which the organizations serve as information stewards.

+ + + + + +

the removal of maintenance equipment containing organizational information is prevented by verifying that there is no organizational information contained on the equipment; or

+ + + + +

the removal of maintenance equipment containing organizational information is prevented by sanitizing or destroying the equipment; or

+ + + + +

the removal of maintenance equipment containing organizational information is prevented by retaining the equipment within the facility; or

+ + + + +

the removal of maintenance equipment containing organizational information is prevented by obtaining an exemption from explicitly authorizing removal of the equipment from the facility.

+ + + + + + + + +

Maintenance policy

+

procedures addressing system maintenance tools

+

system maintenance tools and associated documentation

+

maintenance records

+

equipment sanitization records

+

media sanitization records

+

exemptions for equipment removal

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel responsible for media sanitization

+ + + + + + +

Organizational process for preventing unauthorized removal of information

+

mechanisms supporting media sanitization or destruction of equipment

+

mechanisms supporting verification of media sanitization

+ + + + + Restricted Tool Use + + + + + + + + + + + +

Restrict the use of maintenance tools to authorized personnel only.

+ + +

Restricting the use of maintenance tools to only authorized personnel applies to systems that are used to carry out maintenance functions.

+ + + +

the use of maintenance tools is restricted to authorized personnel only.

+ + + + + + +

Maintenance policy

+

procedures addressing system maintenance tools

+

system maintenance tools and associated documentation

+

list of personnel authorized to use maintenance tools

+

maintenance tool usage records

+

maintenance records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for restricting the use of maintenance tools

+

mechanisms supporting and/or implementing the restricted use of maintenance tools

+ + + + + Execution with Privilege + + + + + + + + + + +

Monitor the use of maintenance tools that execute with increased privilege.

+ + +

Maintenance tools that execute with increased system privilege can result in unauthorized access to organizational information and assets that would otherwise be inaccessible.

+ + + +

the use of maintenance tools that execute with increased privilege is monitored.

+ + + + + + +

Maintenance policy

+

procedures addressing system maintenance tools

+

system maintenance tools and associated documentation

+

list of personnel authorized to use maintenance tools

+

maintenance tool usage records

+

maintenance records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for restricting the use of maintenance tools

+

organizational process for monitoring maintenance tools and maintenance tool usage

+

mechanisms monitoring the use of maintenance tools

+ + + + + Software Updates and Patches + + + + + + + + + + +

Inspect maintenance tools to ensure the latest software updates and patches are installed.

+ + +

Maintenance tools using outdated and/or unpatched software can provide a threat vector for adversaries and result in a significant vulnerability for organizations.

+ + + +

maintenance tools are inspected to ensure that the latest software updates and patches are installed.

+ + + + + + +

Maintenance policy

+

procedures addressing system maintenance tools

+

system maintenance tools and associated documentation

+

list of personnel authorized to use maintenance tools

+

maintenance tool usage records

+

maintenance records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for inspecting maintenance tools

+

organizational processes for maintenance tools updates

+

mechanisms supporting and/or implementing the inspection of maintenance tools

+

mechanisms supporting and/or implementing maintenance tool updates.

+ + + + + + Nonlocal Maintenance + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Approve and monitor nonlocal maintenance and diagnostic activities;

+ + + +

Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;

+ + + +

Employ strong authentication in the establishment of nonlocal maintenance and diagnostic sessions;

+ + + +

Maintain records for nonlocal maintenance and diagnostic activities; and

+ + + +

Terminate session and network connections when nonlocal maintenance is completed.

+ + + +

Nonlocal maintenance and diagnostic activities are conducted by individuals who communicate through either an external or internal network. Local maintenance and diagnostic activities are carried out by individuals who are physically present at the system location and not communicating across a network connection. Authentication techniques used to establish nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2 . Strong authentication requires authenticators that are resistant to replay attacks and employ multi-factor authentication. Strong authenticators include PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished, in part, by other controls. SP 800-63B provides additional guidance on strong authentication and authenticators.

+ + + + + + + +

nonlocal maintenance and diagnostic activities are approved;

+ + + + +

nonlocal maintenance and diagnostic activities are monitored;

+ + + + + + + + +

the use of nonlocal maintenance and diagnostic tools are allowed only as consistent with organizational policy;

+ + + + +

the use of nonlocal maintenance and diagnostic tools are documented in the security plan for the system;

+ + + + + + +

strong authentication is employed in the establishment of nonlocal maintenance and diagnostic sessions;

+ + + + +

records for nonlocal maintenance and diagnostic activities are maintained;

+ + + + + + +

session connections are terminated when nonlocal maintenance is completed;

+ + + + +

network connections are terminated when nonlocal maintenance is completed.

+ + + + + + + + + + +

Maintenance policy

+

procedures addressing nonlocal system maintenance

+

remote access policy

+

remote access procedures

+

system design documentation

+

system configuration settings and associated documentation

+

maintenance records

+

records of remote access

+

diagnostic records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing nonlocal maintenance

+

mechanisms implementing, supporting, and/or managing nonlocal maintenance

+

mechanisms for strong authentication of nonlocal maintenance diagnostic sessions

+

mechanisms for terminating nonlocal maintenance sessions and network connections

+ + + + Logging and Review + + + + + + + + + +

audit events to be logged for nonlocal maintenance are defined;

+ + + + + + +

audit events to be logged for diagnostic sessions are defined;

+ + + + + + + + + + + + + +

Log for nonlocal maintenance and diagnostic sessions; and

+ + + +

Review the audit records of the maintenance and diagnostic sessions to detect anomalous behavior.

+ + + +

Audit logging for nonlocal maintenance is enforced by AU-2 . Audit events are defined in AU-2a.

+ + + + + + + +

are logged for nonlocal maintenance sessions;

+ + + + +

are logged for nonlocal diagnostic sessions;

+ + + + + + + + +

the audit records of the maintenance sessions are reviewed to detect anomalous behavior;

+ + + + +

the audit records of the diagnostic sessions are reviewed to detect anomalous behavior.

+ + + + + + + + + + +

Maintenance policy

+

procedures addressing nonlocal system maintenance

+

list of audit events

+

system configuration settings and associated documentation

+

maintenance records

+

diagnostic records

+

audit records

+

reviews of maintenance and diagnostic session records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with audit and review responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for audit and review of nonlocal maintenance

+

mechanisms supporting and/or implementing audit and review of nonlocal maintenance

+ + + + + Document Nonlocal Maintenance + + + + + + + + + + Comparable Security and Sanitization + + + + + + + + + + + + +

Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or

+ + + +

Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information); and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system.

+ + + +

Comparable security capability on systems, diagnostic tools, and equipment providing maintenance services implies that the implemented controls on those systems, tools, and equipment are at least as comprehensive as the controls on the system being serviced.

+ + + + + + + +

nonlocal maintenance services are required to be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced;

+ + + + +

nonlocal diagnostic services are required to be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or

+ + + + + + + + +

the component to be serviced is removed from the system prior to nonlocal maintenance or diagnostic services;

+ + + + +

the component to be serviced is sanitized (for organizational information);

+ + + + +

the component is inspected and sanitized (for potentially malicious software) after the service is performed and before reconnecting the component to the system.

+ + + + + + + + + + +

Maintenance policy

+

procedures addressing nonlocal system maintenance

+

service provider contracts and/or service-level agreements

+

maintenance records

+

inspection records

+

audit records

+

equipment sanitization records

+

media sanitization records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

system maintenance provider

+

organizational personnel with information security responsibilities

+

organizational personnel responsible for media sanitization

+

system/network administrators

+ + + + + + +

Organizational processes for comparable security and sanitization for nonlocal maintenance

+

organizational processes for the removal, sanitization, and inspection of components serviced via nonlocal maintenance

+

mechanisms supporting and/or implementing component sanitization and inspection

+ + + + + Authentication and Separation of Maintenance Sessions + + + + + +

authenticators that are replay resistant are defined;

+ + + + + + + + + +

Protect nonlocal maintenance sessions by:

+ + +

Employing ; and

+ + + +

Separating the maintenance sessions from other network sessions with the system by either:

+ + +

Physically separated communications paths; or

+ + + +

Logically separated communications paths.

+ + + + +

Communications paths can be logically separated using encryption.

+ + + + + +

nonlocal maintenance sessions are protected by employing ;

+ + + + + + +

nonlocal maintenance sessions are protected by separating maintenance sessions from other network sessions with the system by physically separated communication paths; or

+ + + + +

nonlocal maintenance sessions are protected by logically separated communication paths.

+ + + + + + + + + + +

Maintenance policy

+

procedures addressing nonlocal system maintenance

+

system design documentation

+

system configuration settings and associated documentation

+

maintenance records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

network engineers

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for protecting nonlocal maintenance sessions

+

mechanisms implementing replay-resistant authenticators

+

mechanisms implementing logically separated/encrypted communication paths

+ + + + + Approvals and Notifications + + + + + +

personnel or roles required to approve each nonlocal maintenance session is/are defined;

+ + + + + + + + +

personnel and roles to be notified of the date and time of planned nonlocal maintenance is/are defined;

+ + + + + + + + + + + +

Require the approval of each nonlocal maintenance session by ; and

+ + + +

Notify the following personnel or roles of the date and time of planned nonlocal maintenance: .

+ + + +

Notification may be performed by maintenance personnel. Approval of nonlocal maintenance is accomplished by personnel with sufficient information security and system knowledge to determine the appropriateness of the proposed maintenance.

+ + + + + +

the approval of each nonlocal maintenance session is required by ;

+ + + + +

is/are notified of the date and time of planned nonlocal maintenance.

+ + + + + + + + +

Maintenance policy

+

procedures addressing nonlocal system maintenance

+

notifications supporting nonlocal maintenance sessions

+

maintenance records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with notification responsibilities

+

organizational personnel with approval responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for approving and notifying personnel regarding nonlocal maintenance

+

mechanisms supporting the notification and approval of nonlocal maintenance

+ + + + + Cryptographic Protection + + + + + +

cryptographic mechanisms to be implemented to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications are defined;

+ + + + + + + + + + + + + +

Implement the following cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications: .

+ + +

Failure to protect nonlocal maintenance and diagnostic communications can result in unauthorized individuals gaining access to organizational information. Unauthorized access during remote maintenance sessions can result in a variety of hostile actions, including malicious code insertion, unauthorized changes to system parameters, and exfiltration of organizational information. Such actions can result in the loss or degradation of mission or business capabilities.

+ + + + + +

are implemented to protect the integrity of nonlocal maintenance and diagnostic communications;

+ + + + +

are implemented to protect the confidentiality of nonlocal maintenance and diagnostic communications.

+ + + + + + + + +

Maintenance policy

+

procedures addressing nonlocal system maintenance

+

system design documentation

+

system configuration settings and associated documentation

+

cryptographic mechanisms protecting nonlocal maintenance activities

+

maintenance records

+

diagnostic records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

network engineers

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Cryptographic mechanisms protecting nonlocal maintenance and diagnostic communications

+ + + + + Disconnect Verification + + + + + + + + +

Verify session and network connection termination after the completion of nonlocal maintenance and diagnostic sessions.

+ + +

Verifying the termination of a connection once maintenance is completed ensures that connections established during nonlocal maintenance and diagnostic sessions have been terminated and are no longer available for use.

+ + + + + +

session connection termination is verified after the completion of nonlocal maintenance and diagnostic sessions;

+ + + + +

network connection termination is verified after the completion of nonlocal maintenance and diagnostic sessions.

+ + + + + + + + +

Maintenance policy

+

procedures addressing nonlocal system maintenance

+

system design documentation

+

system configuration settings and associated documentation

+

session/network termination logs

+

cryptographic mechanisms protecting nonlocal maintenance activities

+

maintenance records

+

diagnostic records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

network engineers

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions

+ + + + + + Maintenance Personnel + + + + + + + + + + + + + + + + + + + + +

Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel;

+ + + +

Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and

+ + + +

Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.

+ + + +

Maintenance personnel refers to individuals who perform hardware or software maintenance on organizational systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems, while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel—such as information technology manufacturers, vendors, systems integrators, and consultants—may require privileged access to organizational systems, such as when they are required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.

+ + + + + + + +

a process for maintenance personnel authorization is established;

+ + + + +

a list of authorized maintenance organizations or personnel is maintained;

+ + + + + + +

non-escorted personnel performing maintenance on the system possess the required access authorizations;

+ + + + +

organizational personnel with required access authorizations and technical competence is/are designated to supervise the maintenance activities of personnel who do not possess the required access authorizations.

+ + + + + + + + +

Maintenance policy

+

procedures addressing maintenance personnel

+

service provider contracts

+

service-level agreements

+

list of authorized personnel

+

maintenance records

+

access control records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for authorizing and managing maintenance personnel

+

mechanisms supporting and/or implementing authorization of maintenance personnel

+ + + + Individuals Without Appropriate Access + + + + + +

alternate controls to be developed and implemented in the event that a system component cannot be sanitized, removed, or disconnected from the system are defined;

+ + + + + + + + + + + + + +

Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:

+ + +

Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified; and

+ + + +

Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and

+ + + + +

Develop and implement in the event a system component cannot be sanitized, removed, or disconnected from the system.

+ + + +

Procedures for individuals who lack appropriate security clearances or who are not U.S. citizens are intended to deny visual and electronic access to classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems.

+ + + + + + + +

procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified escorting and supervising maintenance personnel without the needed access authorization during the performance of maintenance and diagnostic activities;

+ + + + +

procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include all volatile information storage components within the system being sanitized and all non-volatile storage media being removed or physically disconnected from the system and secured prior to initiating maintenance or diagnostic activities;

+ + + + + + +

are developed and implemented in the event that a system cannot be sanitized, removed, or disconnected from the system.

+ + + + + + + + +

Maintenance policy

+

procedures addressing maintenance personnel

+

system media protection policy

+

physical and environmental protection policy

+

list of maintenance personnel requiring escort/supervision

+

maintenance records

+

access control records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with personnel security responsibilities

+

organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel responsible for media sanitization

+

system/network administrators

+ + + + + + +

Organizational processes for managing maintenance personnel without appropriate access

+

mechanisms supporting and/or implementing alternative security safeguards

+

mechanisms supporting and/or implementing information storage component sanitization

+ + + + + Security Clearances for Classified Systems + + + + + + + + +

Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for compartments of information on the system.

+ + +

Personnel who conduct maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. To mitigate the inherent risk of such exposure, organizations use maintenance personnel that are cleared (i.e., possess security clearances) to the classification level of the information stored on the system.

+ + + + + +

personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances for at least the highest classification level and for compartments of information on the system;

+ + + + +

personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess formal access approvals for at least the highest classification level and for compartments of information on the system.

+ + + + + + + + +

Maintenance policy

+

procedures addressing maintenance personnel

+

personnel records

+

maintenance records

+

access control records

+

access credentials

+

access authorizations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with personnel security responsibilities

+

organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for managing security clearances for maintenance personnel

+ + + + + Citizenship Requirements for Classified Systems + + + + + + + + +

Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens.

+ + +

Personnel who conduct maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. If access to classified information on organizational systems is restricted to U.S. citizens, the same restriction is applied to personnel performing maintenance on those systems.

+ + + +

personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens.

+ + + + + + +

Maintenance policy

+

procedures addressing maintenance personnel

+

personnel records

+

maintenance records

+

access control records

+

access credentials

+

access authorizations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with personnel security responsibilities

+

organizational personnel with information security responsibilities

+ + + + + Foreign Nationals + + + + + + + + +

Ensure that:

+ + +

Foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and

+ + + +

Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements.

+ + + +

Personnel who conduct maintenance and diagnostic activities on organizational systems may be exposed to classified information. If non-U.S. citizens are permitted to perform maintenance and diagnostics activities on classified systems, then additional vetting is required to ensure agreements and restrictions are not being violated.

+ + + + + +

foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments or owned and operated solely by foreign allied governments;

+ + + + + + +

approvals regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements;

+ + + + +

consents regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements;

+ + + + +

detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements.

+ + + + + + + + + + +

Maintenance policy

+

procedures addressing maintenance personnel

+

system media protection policy

+

access control policy and procedures

+

physical and environmental protection policy and procedures

+

memorandum of agreement

+

maintenance records

+

access control records

+

access credentials

+

access authorizations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities, organizational personnel with personnel security responsibilities

+

organizational personnel managing memoranda of agreements

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for managing foreign national maintenance personnel

+ + + + + Non-system Maintenance + + + + + + + +

Ensure that non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system, have required access authorizations.

+ + +

Personnel who perform maintenance activities in other capacities not directly related to the system include physical plant personnel and custodial personnel.

+ + + +

non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system have required access authorizations.

+ + + + + + +

Maintenance policy

+

procedures addressing maintenance personnel

+

system media protection policy

+

access control policy and procedures

+

physical and environmental protection policy and procedures

+

maintenance records

+

access control records

+

access authorizations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with personnel security responsibilities

+

organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + Timely Maintenance + + + + + +

system components for which maintenance support and/or spare parts are obtained are defined;

+ + + + + + + +

time period within which maintenance support and/or spare parts are to be obtained after a failure are defined;

+ + + + + + + + + + + + + + + + + +

Obtain maintenance support and/or spare parts for within of failure.

+ + +

Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place.

+ + + +

maintenance support and/or spare parts are obtained for within of failure.

+ + + + + + +

Maintenance policy

+

procedures addressing system maintenance

+

service provider contracts

+

service-level agreements

+

inventory and availability of spare parts

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for ensuring timely maintenance

+ + + + Preventive Maintenance + + + + + +

system components on which preventive maintenance is to be performed are defined;

+ + + + + + + +

time intervals within which preventive maintenance is to be performed on system components are defined;

+ + + + + + + + + +

Perform preventive maintenance on at .

+ + +

Preventive maintenance includes proactive care and the servicing of system components to maintain organizational equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid or mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they fail. Methods of determining what preventive (or other) failure management policies to apply include original equipment manufacturer recommendations; statistical failure records; expert opinion; maintenance that has already been conducted on similar equipment; requirements of codes, laws, or regulations within a jurisdiction; or measured values and performance indications.

+ + + +

preventive maintenance is performed on at .

+ + + + + + +

Maintenance policy

+

procedures addressing system maintenance

+

service provider contracts

+

service-level agreements

+

maintenance records

+

list of system components requiring preventive maintenance

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for preventive maintenance

+

mechanisms supporting and/or implementing preventive maintenance

+ + + + + Predictive Maintenance + + + + + +

system components on which predictive maintenance is to be performed are defined;

+ + + + + + + +

time intervals within which predictive maintenance is to be performed are defined;

+ + + + + + + + + +

Perform predictive maintenance on at .

+ + +

Predictive maintenance evaluates the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the objective of predicting the future trend of the equipment's condition. The predictive maintenance approach employs principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thus minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability.

+ + + +

predictive maintenance is performed on at .

+ + + + + + +

Maintenance policy

+

procedures addressing system maintenance

+

service provider contracts

+

service-level agreements

+

maintenance records

+

list of system components requiring predictive maintenance

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for predictive maintenance

+

mechanisms supporting and/or implementing predictive maintenance

+ + + + + Automated Support for Predictive Maintenance + + + + + +

automated mechanisms used to transfer predictive maintenance data to a maintenance management system are defined;

+ + + + + + + + + +

Transfer predictive maintenance data to a maintenance management system using .

+ + +

A computerized maintenance management system maintains a database of information about the maintenance operations of organizations and automates the processing of equipment condition data to trigger maintenance planning, execution, and reporting.

+ + + +

predictive maintenance data is transferred to a maintenance management system using .

+ + + + + + +

Maintenance policy

+

procedures addressing system maintenance

+

service provider contracts

+

service-level agreements

+

maintenance records

+

list of system components requiring predictive maintenance

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Automated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system

+

operations of the computer maintenance management system

+ + + + + + Field Maintenance + + + + + +

systems or system components on which field maintenance is restricted or prohibited to trusted maintenance facilities are defined;

+ + + + + + + +

trusted maintenance facilities that are not restricted or prohibited from conducting field maintenance are defined;

+ + + + + + + + + + + +

Restrict or prohibit field maintenance on to .

+ + +

Field maintenance is the type of maintenance conducted on a system or system component after the system or component has been deployed to a specific site (i.e., operational environment). In certain instances, field maintenance (i.e., local maintenance at the site) may not be executed with the same degree of rigor or with the same quality control checks as depot maintenance. For critical systems designated as such by the organization, it may be necessary to restrict or prohibit field maintenance at the local site and require that such maintenance be conducted in trusted facilities with additional controls.

+ + + +

field maintenance on are restricted or prohibited to .

+ + + + + + +

Maintenance policy

+

procedures addressing field maintenance

+

system design documentation

+

system configuration settings and associated documentation

+

maintenance records

+

diagnostic records

+

system security plan

+

other relevant documents or records.

+ + + + + + +

Organizational personnel with system maintenance responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for managing field maintenance

+

mechanisms implementing, supporting, and/or managing field maintenance

+

mechanisms for strong authentication of field maintenance diagnostic sessions

+

mechanisms for terminating field maintenance sessions and network connections

+ + + + + + Media Protection + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the media protection policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the media protection procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the media protection policy and procedures is defined;

+ + + + + + + +

the frequency with which the current media protection policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current media protection policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency with which the current media protection procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require media protection procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

media protection policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the media protection policy and procedures; and

+ + + +

Review and update the current media protection:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Media protection policy and procedures address the controls in the MP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of media protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to media protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a media protection policy is developed and documented;

+ + + + +

the media protection policy is disseminated to ;

+ + + + +

media protection procedures to facilitate the implementation of the media protection policy and associated media protection controls are developed and documented;

+ + + + +

the media protection procedures are disseminated to ;

+ + + + + + + + +

the media protection policy addresses purpose;

+ + + + +

the media protection policy addresses scope;

+ + + + +

the media protection policy addresses roles;

+ + + + +

the media protection policy addresses responsibilities;

+ + + + +

the media protection policy addresses management commitment;

+ + + + +

the media protection policy addresses coordination among organizational entities;

+ + + + +

the media protection policy compliance;

+ + + + + + +

the media protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the media protection policy and procedures.

+ + + + + + + + +

the current media protection policy is reviewed and updated ;

+ + + + +

the current media protection policy is reviewed and updated following ;

+ + + + + + + + +

the current media protection procedures are reviewed and updated ;

+ + + + +

the current media protection procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Media protection policy and procedures

+

organizational risk management strategy

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with media protection responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Media Access + + + + + + + + + + + + + + +

types of digital media to which access is restricted are defined;

+ + + + + + +

personnel or roles authorized to access digital media is/are defined;

+ + + + + + +

types of non-digital media to which access is restricted are defined;

+ + + + + + +

personnel or roles authorized to access non-digital media is/are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + +

Restrict access to to .

+ + +

System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers is an example of restricting access to non-digital media. Limiting access to the design specifications stored on compact discs in the media library to individuals on the system development team is an example of restricting access to digital media.

+ + + + + +

access to is restricted to ;

+ + + + +

access to is restricted to .

+ + + + + + + + +

System media protection policy

+

procedures addressing media access restrictions

+

access control policy and procedures

+

physical and environmental protection policy and procedures

+

media storage facilities

+

access control records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media protection responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for restricting information media

+

mechanisms supporting and/or implementing media access restrictions

+ + + + Automated Restricted Access + + + + + + + + + Cryptographic Protection + + + + + + + + + + Media Marking + + + + + + +

types of system media exempt from marking when remaining in controlled areas are defined;

+ + + + + + + +

controlled areas where media is exempt from marking are defined;

+ + + + + + + + + + + + + + + + + + +

Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and

+ + + +

Exempt from marking if the media remain within .

+ + + +

Security marking refers to the application or use of human-readable security attributes. Digital media includes diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), flash drives, compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Controlled unclassified information is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in 32 CFR 2002 . Security markings are generally not required for media that contains information determined by organizations to be in the public domain or to be publicly releasable. Some organizations may require markings for public information indicating that the information is publicly releasable. System media marking reflects applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.

+ + + + + +

system media is marked to indicate distribution limitations, handling caveats, and applicable security markings (if any) of the information;

+ + + + +

remain within .

+ + + + + + + + +

System media protection policy

+

procedures addressing media marking

+

physical and environmental protection policy and procedures

+

list of system media marking security attributes

+

designated controlled areas

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media protection and marking responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for marking information media

+

mechanisms supporting and/or implementing media marking

+ + + + + Media Storage + + + + + + + + + + + + + + + + +

types of digital media to be physically controlled are defined (if selected);

+ + + + + + +

types of non-digital media to be physically controlled are defined (if selected);

+ + + + + + +

types of digital media to be securely stored are defined (if selected);

+ + + + + + +

types of non-digital media to be securely stored are defined (if selected);

+ + + + + + +

controlled areas within which to securely store digital media are defined;

+ + + + + + +

controlled areas within which to securely store non-digital media are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Physically control and securely store within ; and

+ + + +

Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures.

+ + + +

System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Physically controlling stored media includes conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the library, and maintaining accountability for stored media. Secure storage includes a locked drawer, desk, or cabinet or a controlled media library. The type of media storage is commensurate with the security category or classification of the information on the media. Controlled areas are spaces that provide physical and procedural controls to meet the requirements established for protecting information and systems. Fewer controls may be needed for media that contains information determined to be in the public domain, publicly releasable, or have limited adverse impacts on organizations, operations, or individuals if accessed by other than authorized personnel. In these situations, physical access controls provide adequate protection.

+ + + + + + + +

are physically controlled;

+ + + + +

are physically controlled;

+ + + + +

are securely stored within ;

+ + + + +

are securely stored within ;

+ + + + + + +

system media types (defined in MP-04_ODP[01], MP-04_ODP[02], MP-04_ODP[03], MP-04_ODP[04]) are protected until the media are destroyed or sanitized using approved equipment, techniques, and procedures.

+ + + + + + + + +

System media protection policy

+

procedures addressing media storage

+

physical and environmental protection policy and procedures

+

access control policy and procedures

+

system media

+

designated controlled areas

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media protection and storage responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for storing information media

+

mechanisms supporting and/or implementing secure media storage/media protection

+ + + + Cryptographic Protection + + + + + + + + + Automated Restricted Access + + + + + + + + + + +

automated mechanisms to restrict access to media storage areas are defined;

+ + + + + + +

automated mechanisms to log access attempts to media storage areas are defined;

+ + + + + + +

automated mechanisms to log access granted to media storage areas are defined;

+ + + + + + + + + + + + + + + +

Restrict access to media storage areas and log access attempts and access granted using .

+ + +

Automated mechanisms include keypads, biometric readers, or card readers on the external entries to media storage areas.

+ + + + + +

access to media storage areas is restricted using ;

+ + + + +

access attempts to media storage areas are logged using ;

+ + + + +

access granted to media storage areas is logged using .

+ + + + + + + + +

System media protection policy

+

procedures addressing media storage

+

access control policy and procedures

+

physical and environmental protection policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

media storage facilities

+

access control devices

+

access control records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media protection and storage responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Automated mechanisms restricting access to media storage areas

+

automated mechanisms auditing access attempts and access granted to media storage areas

+ + + + + + Media Transport + + + + + + + + + + +

types of system media to protect and control during transport outside of controlled areas are defined;

+ + + + + + +

controls used to protect system media outside of controlled areas are defined;

+ + + + + + +

controls used to control system media outside of controlled areas are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + +

Protect and control during transport outside of controlled areas using ;

+ + + +

Maintain accountability for system media during transport outside of controlled areas;

+ + + +

Document activities associated with the transport of system media; and

+ + + +

Restrict the activities associated with the transport of system media to authorized personnel.

+ + + +

System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state and magnetic), compact discs, and digital versatile discs. Non-digital media includes microfilm and paper. Controlled areas are spaces for which organizations provide physical or procedural controls to meet requirements established for protecting information and systems. Controls to protect media during transport include cryptography and locked containers. Cryptographic mechanisms can provide confidentiality and integrity protections depending on the mechanisms implemented. Activities associated with media transport include releasing media for transport, ensuring that media enters the appropriate transport processes, and the actual transport. Authorized transport and courier personnel may include individuals external to the organization. Maintaining accountability of media during transport includes restricting transport activities to authorized personnel and tracking and/or obtaining records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk. Organizations maintain the flexibility to define record-keeping methods for the different types of media transport as part of a system of transport-related records.

+ + + + + + + +

are protected during transport outside of controlled areas using ;

+ + + + +

are controlled during transport outside of controlled areas using ;

+ + + + + + +

accountability for system media is maintained during transport outside of controlled areas;

+ + + + +

activities associated with the transport of system media are documented;

+ + + + + + +

personnel authorized to conduct media transport activities is/are identified;

+ + + + +

activities associated with the transport of system media are restricted to identified authorized personnel.

+ + + + + + + + + + +

System media protection policy

+

procedures addressing media storage

+

physical and environmental protection policy and procedures

+

access control policy and procedures

+

authorized personnel list

+

system media

+

designated controlled areas

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media protection and storage responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for storing information media

+

mechanisms supporting and/or implementing media storage/media protection

+ + + + Protection Outside of Controlled Areas + + + + + + + + + Documentation of Activities + + + + + + + + + Custodians + + + + + + + +

Employ an identified custodian during transport of system media outside of controlled areas.

+ + +

Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another if an unambiguous custodian is identified.

+ + + + + +

a custodian to transport system media outside of controlled areas is identified;

+ + + + +

the identified custodian is employed during the transport of system media outside of controlled areas.

+ + + + + + + + +

System media protection policy

+

procedures addressing media transport

+

physical and environmental protection policy and procedures

+

system media transport records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media transport responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for identifying and employing a custodian to transport media outside of controlled areas

+ + + + + Cryptographic Protection + + + + + + + + + + Media Sanitization + + + + + + + + + + + + + + + + +

system media to be sanitized prior to disposal is defined;

+ + + + + + +

system media to be sanitized prior to release from organizational control is defined;

+ + + + + + +

system media to be sanitized prior to release for reuse is defined;

+ + + + + + +

sanitization techniques and procedures to be used for sanitization prior to disposal are defined;

+ + + + + + +

sanitization techniques and procedures to be used for sanitization prior to release from organizational control are defined;

+ + + + + + +

sanitization techniques and procedures to be used for sanitization prior to release for reuse are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Sanitize prior to disposal, release out of organizational control, or release for reuse using ; and

+ + + +

Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.

+ + + +

Media sanitization applies to all digital and non-digital system media subject to disposal or reuse, whether or not the media is considered removable. Examples include digital media in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices, and non-digital media (e.g., paper and microfilm). The sanitization process removes information from system media such that the information cannot be retrieved or reconstructed. Sanitization techniques—including clearing, purging, cryptographic erase, de-identification of personally identifiable information, and destruction—prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods, recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media that contains information deemed to be in the public domain or publicly releasable or information deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media that contains classified information. NARA policies control the sanitization process for controlled unclassified information.

+ + + + + + + +

is sanitized using prior to disposal;

+ + + + +

is sanitized using prior to release from organizational control;

+ + + + +

is sanitized using prior to release for reuse;

+ + + + + + +

sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information are employed.

+ + + + + + + + +

System media protection policy

+

procedures addressing media sanitization and disposal

+

applicable federal standards and policies addressing media sanitization policy

+

media sanitization records

+

system audit records

+

system design documentation

+

records retention and disposition policy

+

records retention and disposition procedures

+

system configuration settings and associated documentation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with media sanitization responsibilities

+

organizational personnel with records retention and disposition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for media sanitization

+

mechanisms supporting and/or implementing media sanitization

+ + + + Review, Approve, Track, Document, and Verify + + + + + + + +

Review, approve, track, document, and verify media sanitization and disposal actions.

+ + +

Organizations review and approve media to be sanitized to ensure compliance with records retention policies. Tracking and documenting actions include listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken and personnel who performed the verification, and the disposal actions taken. Organizations verify that the sanitization of the media was effective prior to disposal.

+ + + + + +

media sanitization and disposal actions are reviewed;

+ + + + +

media sanitization and disposal actions are approved;

+ + + + +

media sanitization and disposal actions are tracked;

+ + + + +

media sanitization and disposal actions are documented;

+ + + + +

media sanitization and disposal actions are verified.

+ + + + + + + + +

System media protection policy

+

procedures addressing media sanitization and disposal

+

records retention and disposition policy

+

records retention and disposition procedures

+

media sanitization and disposal records

+

review records for media sanitization and disposal actions

+

approvals for media sanitization and disposal actions

+

tracking records

+

verification records

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media sanitization and disposal responsibilities

+

organizational personnel with records retention and disposition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for media sanitization

+

mechanisms supporting and/or implementing media sanitization

+

mechanisms supporting and/or implementing verification of media sanitization

+ + + + + Equipment Testing + + + + + + + + + +

frequency with which to test sanitization equipment is defined;

+ + + + + + +

frequency with which to test sanitization procedures is defined;

+ + + + + + + + + +

Test sanitization equipment and procedures to ensure that the intended sanitization is being achieved.

+ + +

Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities, including federal agencies or external service providers.

+ + + + + +

sanitization equipment is tested to ensure that the intended sanitization is being achieved;

+ + + + +

sanitization procedures are tested to ensure that the intended sanitization is being achieved.

+ + + + + + + + +

System media protection policy

+

procedures addressing media sanitization and disposal

+

procedures addressing testing of media sanitization equipment

+

results of media sanitization equipment and procedures testing

+

system audit records

+

records retention and disposition policy

+

records retention and disposition procedures

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media sanitization responsibilities

+

organizational personnel with records retention and disposition responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for media sanitization

+

automated mechanisms supporting and/or implementing media sanitization

+

automated mechanisms supporting and/or implementing media sanitization procedures

+

sanitization equipment

+ + + + + Nondestructive Techniques + + + + + + +

circumstances requiring sanitization of portable storage devices are defined;

+ + + + + + + + + +

Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: .

+ + +

Portable storage devices include external or removable hard disk drives (e.g., solid state, magnetic), optical discs, magnetic or optical tapes, flash memory devices, flash memory cards, and other external or removable disks. Portable storage devices can be obtained from untrustworthy sources and contain malicious code that can be inserted into or transferred to organizational systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when the devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices.

+ + + +

non-destructive sanitization techniques are applied to portable storage devices prior to connecting such devices to the system under .

+ + + + + + +

System media protection policy

+

procedures addressing media sanitization and disposal

+

information on portable storage devices for the system

+

list of circumstances requiring sanitization of portable storage devices

+

media sanitization records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media sanitization responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for media sanitization of portable storage devices

+

mechanisms supporting and/or implementing media sanitization

+ + + + + Controlled Unclassified Information + + + + + + + + + Classified Information + + + + + + + + + Media Destruction + + + + + + + + + Dual Authorization + + + + + +

system media to be sanitized using dual authorization is defined;

+ + + + + + + + + + + +

Enforce dual authorization for the sanitization of .

+ + +

Organizations employ dual authorization to help ensure that system media sanitization cannot occur unless two technically qualified individuals conduct the designated task. Individuals who sanitize system media possess sufficient skills and expertise to determine if the proposed sanitization reflects applicable federal and organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals.

+ + + +

dual authorization for sanitization of is enforced.

+ + + + + + +

System media protection policy

+

procedures addressing media sanitization and disposal

+

dual authorization policy and procedures

+

list of system media requiring dual authorization for sanitization

+

authorization records

+

media sanitization records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media sanitization responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes requiring dual authorization for media sanitization

+

mechanisms supporting and/or implementing media sanitization

+

mechanisms supporting and/or implementing dual authorization

+ + + + + Remote Purging or Wiping of Information + + + + + +

systems or system components to purge or wipe information either remotely or under specific conditions are defined;

+ + + + + + + + + + + + +

conditions under which information is to be purged or wiped are defined (if selected);

+ + + + + + + + + +

Provide the capability to purge or wipe information from .

+ + +

Remote purging or wiping of information protects information on organizational systems and system components if systems or components are obtained by unauthorized individuals. Remote purge or wipe commands require strong authentication to help mitigate the risk of unauthorized individuals purging or wiping the system, component, or device. The purge or wipe function can be implemented in a variety of ways, including by overwriting data or information multiple times or by destroying the key necessary to decrypt encrypted data.

+ + + +

the capability to purge or wipe information from is provided.

+ + + + + + +

System media protection policy

+

procedures addressing media sanitization and disposal

+

system design documentation

+

system configuration settings and associated documentation

+

authorization records

+

media sanitization records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media sanitization responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for purging/wiping media

+

mechanisms supporting and/or implementing purge/wipe capabilities

+ + + + + + Media Use + + + + + +

types of system media to be restricted or prohibited from use on systems or system components are defined;

+ + + + + + + + + + + + +

systems or system components on which the use of specific types of system media to be restricted or prohibited are defined;

+ + + + + + + +

controls to restrict or prohibit the use of specific types of system media on systems or system components are defined;

+ + + + + + + + + + + + + + + + + + +

the use of on using ; and

+ + + +

Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner.

+ + + +

System media includes both digital and non-digital media. Digital media includes diskettes, magnetic tapes, flash drives, compact discs, digital versatile discs, and removable hard disk drives. Non-digital media includes paper and microfilm. Media use protections also apply to mobile devices with information storage capabilities. In contrast to MP-2 , which restricts user access to media, MP-7 restricts the use of certain types of media on systems, for example, restricting or prohibiting the use of flash drives or external hard disk drives. Organizations use technical and nontechnical controls to restrict the use of system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports or disabling or removing the ability to insert, read, or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices, including devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, such as by prohibiting the use of writeable, portable storage devices and implementing this restriction by disabling or removing the capability to write to such devices. Requiring identifiable owners for storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices.

+ + + + + +

the use of is on using ;

+ + + + +

the use of portable storage devices in organizational systems is prohibited when such devices have no identifiable owner.

+ + + + + + + + +

System media protection policy

+

system use policy

+

procedures addressing media usage restrictions

+

rules of behavior

+

system design documentation

+

system configuration settings and associated documentation

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media use responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for media use

+

mechanisms restricting or prohibiting the use of system media on systems or system components

+ + + + Prohibit Use Without Owner + + + + + + + + + Prohibit Use of Sanitization-resistant Media + + + + + + + + +

Prohibit the use of sanitization-resistant media in organizational systems.

+ + +

Sanitization resistance refers to how resistant media are to non-destructive sanitization techniques with respect to the capability to purge information from media. Certain types of media do not support sanitization commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media includes compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.

+ + + + + +

sanitization-resistant media is identified;

+ + + + +

the use of sanitization-resistant media in organizational systems is prohibited.

+ + + + + + + + +

System media protection policy

+

system use policy

+

procedures addressing media usage restrictions

+

rules of behavior

+

system configuration settings and associated documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media use responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for media use

+

mechanisms prohibiting use of media on systems or system components

+ + + + + + Media Downgrading + + + + + +

a system media downgrading process is defined;

+ + + + + + + +

system media requiring downgrading is defined;

+ + + + + + + + + + + + +

Establish that includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;

+ + + +

Verify that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;

+ + + +

Identify ; and

+ + + +

Downgrade the identified system media using the established process.

+ + + +

Media downgrading applies to digital and non-digital media subject to release outside of the organization, whether the media is considered removable or not. When applied to system media, the downgrading process removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading ensures that empty space on the media is devoid of information.

+ + + + + + + +

a is established;

+ + + + +

the includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;

+ + + + + + + + +

there is verification that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed;

+ + + + +

there is verification that the system media downgrading process is commensurate with the access authorizations of the potential recipients of the downgraded information;

+ + + + + + +

is identified;

+ + + + +

the identified system media is downgraded using the .

+ + + + + + + + +

System media protection policy

+

procedures addressing media downgrading

+

system categorization documentation

+

list of media requiring downgrading

+

records of media downgrading

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media downgrading responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for media downgrading

+

mechanisms supporting and/or implementing media downgrading

+ + + + Documentation of Process + + + + + + + +

Document system media downgrading actions.

+ + +

Organizations can document the media downgrading process by providing information, such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.

+ + + +

system media downgrading actions are documented.

+ + + + + + +

System media protection policy

+

procedures addressing media downgrading

+

system categorization documentation

+

list of media requiring downgrading

+

records of media downgrading

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media downgrading responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for media downgrading

+

mechanisms supporting and/or implementing media downgrading

+ + + + + Equipment Testing + + + + + + + + + +

the frequency with which to test downgrading equipment is defined;

+ + + + + + +

the frequency with which to test downgrading procedures is defined;

+ + + + + + + + + +

Test downgrading equipment and procedures to ensure that downgrading actions are being achieved.

+ + +

None.

+ + + + + +

downgrading equipment is tested to ensure that downgrading actions are being achieved;

+ + + + +

downgrading procedures are tested to ensure that downgrading actions are being achieved.

+ + + + + + + + +

System media protection policy

+

procedures addressing media downgrading

+

procedures addressing testing of media downgrading equipment

+

results of downgrading equipment and procedures testing

+

records of media downgrading

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media downgrading responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for media downgrading

+

mechanisms supporting and/or implementing media downgrading

+ + + + + Controlled Unclassified Information + + + + + + + +

Downgrade system media containing controlled unclassified information prior to public release.

+ + +

The downgrading of controlled unclassified information uses approved sanitization tools, techniques, and procedures.

+ + + + + +

system media containing controlled unclassified information is identified;

+ + + + +

system media containing controlled unclassified information is downgraded prior to public release.

+ + + + + + + + +

System media protection policy

+

access authorization policy

+

procedures addressing downgrading of media containing CUI

+

applicable federal and organizational standards and policies regarding protection of CUI

+

media downgrading records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media downgrading responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for media downgrading

+

mechanisms supporting and/or implementing media downgrading

+ + + + + Classified Information + + + + + + + +

Downgrade system media containing classified information prior to release to individuals without required access authorizations.

+ + +

Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified systems to unclassified media.

+ + + + + +

system media containing classified information is identified;

+ + + + +

system media containing classified information is downgraded prior to release to individuals without required access authorizations.

+ + + + + + + + +

System media protection policy

+

access authorization policy

+

procedures addressing downgrading of media containing classified information

+

procedures addressing handling of classified information

+

NSA standards and policies regarding protection of classified information

+

media downgrading records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system media downgrading responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for media downgrading

+

mechanisms supporting and/or implementing media downgrading

+ + + + + + + Physical and Environmental Protection + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the physical and environmental protection policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the physical and environmental protection procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the physical and environmental protection policy and procedures is defined;

+ + + + + + + +

the frequency at which the current physical and environmental protection policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current physical and environmental protection policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current physical and environmental protection procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require the physical and environmental protection procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

physical and environmental protection policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and

+ + + +

Review and update the current physical and environmental protection:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Physical and environmental protection policy and procedures address the controls in the PE family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of physical and environmental protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to physical and environmental protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a physical and environmental protection policy is developed and documented;

+ + + + +

the physical and environmental protection policy is disseminated to ;

+ + + + +

physical and environmental protection procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls are developed and documented;

+ + + + +

the physical and environmental protection procedures are disseminated to ;

+ + + + + + + + +

the physical and environmental protection policy addresses purpose;

+ + + + +

the physical and environmental protection policy addresses scope;

+ + + + +

the physical and environmental protection policy addresses roles;

+ + + + +

the physical and environmental protection policy addresses responsibilities;

+ + + + +

the physical and environmental protection policy addresses management commitment;

+ + + + +

the physical and environmental protection policy addresses coordination among organizational entities;

+ + + + +

the physical and environmental protection policy addresses compliance;

+ + + + + + +

the physical and environmental protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures;

+ + + + + + + + +

the current physical and environmental protection policy is reviewed and updated ;

+ + + + +

the current physical and environmental protection policy is reviewed and updated following ;

+ + + + + + + + +

the current physical and environmental protection procedures are reviewed and updated ;

+ + + + +

the current physical and environmental protection procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Physical and environmental protection policy and procedures

+

system security plan

+

privacy plan

+

organizational risk management strategy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical and environmental protection responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Physical Access Authorizations + + + + + +

frequency at which to review the access list detailing authorized facility access by individuals is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;

+ + + +

Issue authorization credentials for facility access;

+ + + +

Review the access list detailing authorized facility access by individuals ; and

+ + + +

Remove individuals from the facility access list when access is no longer required.

+ + + +

Physical access authorizations apply to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Authorization credentials include ID badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Physical access authorizations may not be necessary to access certain areas within facilities that are designated as publicly accessible.

+ + + + + + + +

a list of individuals with authorized access to the facility where the system resides has been developed;

+ + + + +

the list of individuals with authorized access to the facility where the system resides has been approved;

+ + + + +

the list of individuals with authorized access to the facility where the system resides has been maintained;

+ + + + + + +

authorization credentials are issued for facility access;

+ + + + +

the access list detailing authorized facility access by individuals is reviewed ;

+ + + + +

individuals are removed from the facility access list when access is no longer required.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access authorizations

+

authorized personnel access list

+

authorization credentials

+

physical access list reviews

+

physical access termination records and associated documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access authorization responsibilities

+

organizational personnel with physical access to system facility

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for physical access authorizations

+

mechanisms supporting and/or implementing physical access authorizations

+ + + + Access by Position or Role + + + + + + + + + + +

Authorize physical access to the facility where the system resides based on position or role.

+ + +

Role-based facility access includes access by authorized permanent and regular/routine maintenance personnel, duty officers, and emergency medical staff.

+ + + +

physical access to the facility where the system resides is authorized based on position or role.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access authorizations

+

physical access control logs or records

+

list of positions/roles and corresponding physical access authorizations

+

system entry and exit points

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access authorization responsibilities

+

organizational personnel with physical access to system facility

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for physical access authorizations

+

mechanisms supporting and/or implementing physical access authorizations

+ + + + + Two Forms of Identification + + + + + +

a list of acceptable forms of identification for visitor access to the facility where the system resides is defined;

+ + + + + + + + + + + + +

Require two forms of identification from the following forms of identification for visitor access to the facility where the system resides: .

+ + +

Acceptable forms of identification include passports, REAL ID-compliant drivers’ licenses, and Personal Identity Verification (PIV) cards. For gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.

+ + + +

two forms of identification are required from for visitor access to the facility where the system resides.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access authorizations

+

list of acceptable forms of identification for visitor access to the facility where the system resides

+

access authorization forms

+

access credentials

+

physical access control logs or records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access authorization responsibilities

+

organizational personnel with physical access to the system facility

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for physical access authorizations

+

mechanisms supporting and/or implementing physical access authorizations

+ + + + + Restrict Unescorted Access + + + + + + + + + + +

physical access authorizations for unescorted access to the facility where the system resides are defined (if selected);

+ + + + + + + + + + + +

Restrict unescorted access to the facility where the system resides to personnel with .

+ + +

Individuals without required security clearances, access approvals, or need to know are escorted by individuals with appropriate physical access authorizations to ensure that information is not exposed or otherwise compromised.

+ + + +

unescorted access to the facility where the system resides is restricted to personnel with .

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access authorizations

+

authorized personnel access list

+

security clearances

+

access authorizations

+

access credentials

+

physical access control logs or records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access authorization responsibilities

+

organizational personnel with physical access to the system facility

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for physical access authorizations

+

mechanisms supporting and/or implementing physical access authorizations

+ + + + + + Physical Access Control + + + + + + + + + + + +

entry and exit points to the facility in which the system resides are defined;

+ + + + + + + + + + + + + +

physical access control systems or devices used to control ingress and egress to the facility are defined (if selected);

+ + + + + + + +

entry or exit points for which physical access logs are maintained are defined;

+ + + + + + + +

physical access controls to control access to areas within the facility designated as publicly accessible are defined;

+ + + + + + + + +

circumstances requiring visitor escorts and control of visitor activity are defined;

+ + + + + + + +

physical access devices to be inventoried are defined;

+ + + + + + + +

frequency at which to inventory physical access devices is defined;

+ + + + + + +

frequency at which to change combinations is defined;

+ + + + + + +

frequency at which to change keys is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Enforce physical access authorizations at by:

+ + +

Verifying individual access authorizations before granting access to the facility; and

+ + + +

Controlling ingress and egress to the facility using ;

+ + + + +

Maintain physical access audit logs for ;

+ + + +

Control access to areas within the facility designated as publicly accessible by implementing the following controls: ;

+ + + +

Escort visitors and control visitor activity ;

+ + + +

Secure keys, combinations, and other physical access devices;

+ + + +

Inventory every ; and

+ + + +

Change combinations and keys and/or when keys are lost, combinations are compromised, or when individuals possessing the keys or combinations are transferred or terminated.

+ + + +

Physical access control applies to employees and visitors. Individuals with permanent physical access authorizations are not considered visitors. Physical access controls for publicly accessible areas may include physical access control logs/records, guards, or physical access devices and barriers to prevent movement from publicly accessible areas to non-public areas. Organizations determine the types of guards needed, including professional security staff, system users, or administrative staff. Physical access devices include keys, locks, combinations, biometric readers, and card readers. Physical access control systems comply with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems that require supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations controlling access to the components.

+ + + + + + + +

physical access authorizations are enforced at by verifying individual access authorizations before granting access to the facility;

+ + + + +

physical access authorizations are enforced at by controlling ingress and egress to the facility using ;

+ + + + + + +

physical access audit logs are maintained for ;

+ + + + +

access to areas within the facility designated as publicly accessible are maintained by implementing ;

+ + + + + + +

visitors are escorted;

+ + + + +

visitor activity is controlled ;

+ + + + + + + + +

keys are secured;

+ + + + +

combinations are secured;

+ + + + +

other physical access devices are secured;

+ + + + + + +

are inventoried ;

+ + + + + + +

combinations are changed , when combinations are compromised, or when individuals possessing the combinations are transferred or terminated;

+ + + + +

keys are changed , when keys are lost, or when individuals possessing the keys are transferred or terminated.

+ + + + + + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access control

+

physical access control logs or records

+

inventory records of physical access control devices

+

system entry and exit points

+

records of key and lock combination changes

+

storage locations for physical access control devices

+

physical access control devices

+

list of security safeguards controlling access to designated publicly accessible areas within facility

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for physical access control

+

mechanisms supporting and/or implementing physical access control

+

physical access control devices

+ + + + System Access + + + + + + +

physical spaces containing one or more components of the system are defined;

+ + + + + + + + + +

Enforce physical access authorizations to the system in addition to the physical access controls for the facility at .

+ + +

Control of physical access to the system provides additional physical security for those areas within facilities where there is a concentration of system components.

+ + + + + +

physical access authorizations to the system are enforced;

+ + + + +

physical access controls are enforced for the facility at .

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access control

+

physical access control logs or records

+

physical access control devices

+

access authorizations

+

access credentials

+

system entry and exit points

+

list of areas within the facility containing concentrations of system components or system components requiring additional physical protection

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access authorization responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for physical access control to the information system/components

+

mechanisms supporting and/or implementing physical access control for facility areas containing system components

+ + + + + Facility and Systems + + + + + +

the frequency at which to perform security checks at the physical perimeter of the facility or system for exfiltration of information or removal of system components is defined;

+ + + + + + + + + + + +

Perform security checks at the physical perimeter of the facility or system for exfiltration of information or removal of system components.

+ + +

Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.

+ + + +

security checks are performed at the physical perimeter of the facility or system for exfiltration of information or removal of system components.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access control

+

physical access control logs or records

+

records of security checks

+

security audit reports

+

security inspection reports

+

facility layout documentation

+

system entry and exit points

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for physical access control to the facility and/or system

+

mechanisms supporting and/or implementing physical access control for the facility or system

+

mechanisms supporting and/or implementing security checks for the unauthorized exfiltration of information

+ + + + + Continuous Guards + + + + + +

physical access points to the facility where the system resides are defined;

+ + + + + + + + + + + + +

Employ guards to control to the facility where the system resides 24 hours per day, 7 days per week.

+ + +

Employing guards at selected physical access points to the facility provides a more rapid response capability for organizations. Guards also provide the opportunity for human surveillance in areas of the facility not covered by video surveillance.

+ + + +

guards are employed to control to the facility where the system resides 24 hours per day, 7 days per week.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access control

+

physical access control logs or records

+

physical access control devices

+

facility surveillance records

+

facility layout documentation

+

system entry and exit points

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for physical access control to the facility where the system resides

+

mechanisms supporting and/or implementing physical access control for the facility where the system resides

+ + + + + Lockable Casings + + + + + +

system components to be protected from unauthorized physical access are defined;

+ + + + + + + + + +

Use lockable physical casings to protect from unauthorized physical access.

+ + +

The greatest risk from the use of portable devices—such as smart phones, tablets, and notebook computers—is theft. Organizations can employ lockable, physical casings to reduce or eliminate the risk of equipment theft. Such casings come in a variety of sizes, from units that protect a single notebook computer to full cabinets that can protect multiple servers, computers, and peripherals. Lockable physical casings can be used in conjunction with cable locks or lockdown plates to prevent the theft of the locked casing containing the computer equipment.

+ + + +

lockable physical casings are used to protect from unauthorized access.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access control

+

list of system components requiring protection through lockable physical casings

+

lockable physical casings

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Lockable physical casings

+ + + + + Tamper Protection + + + + + +

anti-tamper technologies to be employed are defined;

+ + + + + + + + + + + + +

hardware components to be protected from physical tampering or alteration are defined;

+ + + + + + + + + + + + +

Employ to physical tampering or alteration of within the system.

+ + +

Organizations can implement tamper detection and prevention at selected hardware components or implement tamper detection at some components and tamper prevention at other components. Detection and prevention activities can employ many types of anti-tamper technologies, including tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.

+ + + +

are employed to physical tampering or alteration of within the system.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access control

+

list of security safeguards to detect/prevent physical tampering or alteration of system hardware components

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes to detect/prevent physical tampering or alteration of system hardware components

+

mechanisms/security safeguards supporting and/or implementing the detection/prevention of physical tampering/alternation of system hardware components

+ + + + + Facility Penetration Testing + + + + + + + + + Physical Barriers + + + + + + + +

Limit access using physical barriers.

+ + +

Physical barriers include bollards, concrete slabs, jersey walls, and hydraulic active vehicle barriers.

+ + + +

physical barriers are used to limit access.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access control

+

list of physical barriers to limit access to the system

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + Access Control Vestibules + + + + + + +

locations within the facility where access control vestibules are to be employed are defined;

+ + + + + + + + + +

Employ access control vestibules at .

+ + +

An access control vestibule is part of a physical access control system that typically provides a space between two sets of interlocking doors. Vestibules are designed to prevent unauthorized individuals from following authorized individuals into facilities with controlled access. This activity, also known as piggybacking or tailgating, results in unauthorized access to the facility. Interlocking door controllers can be used to limit the number of individuals who enter controlled access points and to provide containment areas while authorization for physical access is verified. Interlocking door controllers can be fully automated (i.e., controlling the opening and closing of the doors) or partially automated (i.e., using security guards to control the number of individuals entering the containment area).

+ + + +

access control vestibules are employed at .

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access control

+

list of access control vestibules and locations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for vestibules to prevent unauthorized access.

+ + + + + + Access Control for Transmission + + + + + +

system distribution and transmission lines requiring physical access controls are defined;

+ + + + + + + +

security controls to be implemented to control physical access to system distribution and transmission lines within the organizational facility are defined;

+ + + + + + + + + + + + + + + + + + +

Control physical access to within organizational facilities using .

+ + +

Security controls applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such controls may also be necessary to prevent eavesdropping or modification of unencrypted transmissions. Security controls used to control physical access to system distribution and transmission lines include disconnected or locked spare jacks, locked wiring closets, protection of cabling by conduit or cable trays, and wiretapping sensors.

+ + + +

physical access to within organizational facilities is controlled using .

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing access control for transmission mediums

+

system design documentation

+

facility communications and wiring diagrams

+

list of physical security safeguards applied to system distribution and transmission lines

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for access control to distribution and transmission lines

+

mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines

+ + + + + Access Control for Output Devices + + + + + +

output devices that require physical access control to output are defined;

+ + + + + + + + + + + + + +

Control physical access to output from to prevent unauthorized individuals from obtaining the output.

+ + +

Controlling physical access to output devices includes placing output devices in locked rooms or other secured areas with keypad or card reader access controls and allowing access to authorized individuals only, placing output devices in locations that can be monitored by personnel, installing monitor or screen filters, and using headphones. Examples of output devices include monitors, printers, scanners, audio devices, facsimile machines, and copiers.

+ + + +

physical access to output from is controlled to prevent unauthorized individuals from obtaining the output.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing access control for display medium

+

facility layout of system components

+

actual displays from system components

+

list of output devices and associated outputs requiring physical access controls

+

physical access control logs or records for areas containing output devices and related outputs

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access control responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for access control to output devices

+

mechanisms supporting and/or implementing access control to output devices

+ + + + Access to Output by Authorized Individuals + + + + + + + + + Link to Individual Identity + + + + + + + +

Link individual identity to receipt of output from output devices.

+ + +

Methods for linking individual identity to the receipt of output from output devices include installing security functionality on facsimile machines, copiers, and printers. Such functionality allows organizations to implement authentication on output devices prior to the release of output to individuals.

+ + + +

individual identity is linked to the receipt of output from output devices.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access control

+

system design documentation

+

system configuration settings and associated documentation

+

list of output devices and associated outputs requiring physical access controls

+

physical access control logs or records for areas containing output devices and related outputs

+

system audit records

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access control responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

system developers

+ + + + + + +

Organizational processes for access control to output devices

+

mechanisms supporting and/or implementing access control to output devices

+ + + + + Marking Output Devices + + + + + + + + + + Monitoring Physical Access + + + + + +

the frequency at which to review physical access logs is defined;

+ + + + + + + + +

events or potential indication of events requiring physical access logs to be reviewed are defined;

+ + + + + + + + + + + + + + + + + + + +

Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;

+ + + +

Review physical access logs and upon occurrence of ; and

+ + + +

Coordinate results of reviews and investigations with the organizational incident response capability.

+ + + +

Physical access monitoring includes publicly accessible areas within organizational facilities. Examples of physical access monitoring include the employment of guards, video surveillance equipment (i.e., cameras), and sensor devices. Reviewing physical access logs can help identify suspicious activity, anomalous events, or potential threats. The reviews can be supported by audit logging controls, such as AU-2 , if the access logs are part of an automated system. Organizational incident response capabilities include investigations of physical security incidents and responses to the incidents. Incidents include security violations or suspicious physical access activities. Suspicious physical access activities include accesses outside of normal work hours, repeated accesses to areas not normally accessed, accesses for unusual lengths of time, and out-of-sequence accesses.

+ + + + + +

physical access to the facility where the system resides is monitored to detect and respond to physical security incidents;

+ + + + + + +

physical access logs are reviewed ;

+ + + + +

physical access logs are reviewed upon occurrence of ;

+ + + + + + + + +

results of reviews are coordinated with organizational incident response capabilities;

+ + + + +

results of investigations are coordinated with organizational incident response capabilities.

+ + + + + + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access monitoring

+

physical access logs or records

+

physical access monitoring records

+

physical access log reviews

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access monitoring responsibilities

+

organizational personnel with incident response responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for monitoring physical access

+

mechanisms supporting and/or implementing physical access monitoring

+

mechanisms supporting and/or implementing the review of physical access logs

+ + + + Intrusion Alarms and Surveillance Equipment + + + + + + + + +

Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment.

+ + +

Physical intrusion alarms can be employed to alert security personnel when unauthorized access to the facility is attempted. Alarm systems work in conjunction with physical barriers, physical access control systems, and security guards by triggering a response when these other forms of security have been compromised or breached. Physical intrusion alarms can include different types of sensor devices, such as motion sensors, contact sensors, and broken glass sensors. Surveillance equipment includes video cameras installed at strategic locations throughout the facility.

+ + + + + +

physical access to the facility where the system resides is monitored using physical intrusion alarms;

+ + + + +

physical access to the facility where the system resides is monitored using physical surveillance equipment.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access monitoring

+

physical access logs or records

+

physical access monitoring records

+

physical access log reviews

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access monitoring responsibilities

+

organizational personnel with incident response responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for monitoring physical intrusion alarms and surveillance equipment

+

mechanisms supporting and/or implementing physical access monitoring

+

mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment

+ + + + + Automated Intrusion Recognition and Responses + + + + + +

classes or types of intrusions to be recognized by automated mechanisms are defined;

+ + + + + + + +

response actions to be initiated by automated mechanisms when organization-defined classes or types of intrusions are recognized are defined;

+ + + + + + + +

automated mechanisms used to recognize classes or types of intrusions and initiate response actions (defined in PE-06(02)_ODP) are defined;

+ + + + + + + + + + + +

Recognize and initiate using .

+ + +

Response actions can include notifying selected organizational personnel or law enforcement personnel. Automated mechanisms implemented to initiate response actions include system alert notifications, email and text messages, and activating door locking mechanisms. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide integrated threat coverage for the organization.

+ + + + + +

are recognized;

+ + + + +

are initiated using .

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access monitoring

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of response actions to be initiated when specific classes/types of intrusions are recognized

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access monitoring responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for monitoring physical access

+

automated mechanisms supporting and/or implementing physical access monitoring

+

automated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response

+ + + + + Video Surveillance + + + + + +

operational areas where video surveillance is to be employed are defined;

+ + + + + + + +

frequency at which to review video recordings is defined;

+ + + + + + + +

time period for which to retain video recordings is defined;

+ + + + + + + + + + + + +

Employ video surveillance of ;

+ + + +

Review video recordings ; and

+ + + +

Retain video recordings for .

+ + + +

Video surveillance focuses on recording activity in specified areas for the purposes of subsequent review, if circumstances so warrant. Video recordings are typically reviewed to detect anomalous events or incidents. Monitoring the surveillance video is not required, although organizations may choose to do so. There may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.

+ + + + + +

video surveillance of is employed;

+ + + + +

video recordings are reviewed ;

+ + + + +

video recordings are retained for .

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access monitoring

+

video surveillance equipment used to monitor operational areas

+

video recordings of operational areas where video surveillance is employed

+

video surveillance equipment logs or records

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access monitoring responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for monitoring physical access

+

mechanisms supporting and/or implementing physical access monitoring

+

mechanisms supporting and/or implementing video surveillance

+ + + + + Monitoring Physical Access to Systems + + + + + + +

physical spaces containing one or more components of the system are defined;

+ + + + + + + + + + +

Monitor physical access to the system in addition to the physical access monitoring of the facility at .

+ + +

Monitoring physical access to systems provides additional monitoring for those areas within facilities where there is a concentration of system components, including server rooms, media storage areas, and communications centers. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide comprehensive and integrated threat coverage for the organization.

+ + + +

physical access to the system is monitored in addition to the physical access monitoring of the facility at .

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing physical access monitoring

+

physical access control logs or records

+

physical access control devices

+

access authorizations

+

access credentials

+

list of areas within the facility containing concentrations of system components or system components requiring additional physical access monitoring

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with physical access monitoring responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for monitoring physical access to the system

+

mechanisms supporting and/or implementing physical access monitoring for facility areas containing system components

+ + + + + + Visitor Control + + + + + + + + + + Visitor Access Records + + + + + +

time period for which to maintain visitor access records for the facility where the system resides is defined;

+ + + + + + + +

the frequency at which to review visitor access records is defined;

+ + + + + + + +

personnel to whom visitor access records anomalies are reported to is/are defined;

+ + + + + + + + + + + + + + +

Maintain visitor access records to the facility where the system resides for ;

+ + + +

Review visitor access records ; and

+ + + +

Report anomalies in visitor access records to .

+ + + +

Visitor access records include the names and organizations of individuals visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purpose of visits, and the names and organizations of individuals visited. Access record reviews determine if access authorizations are current and are still required to support organizational mission and business functions. Access records are not required for publicly accessible areas.

+ + + + + +

visitor access records for the facility where the system resides are maintained for ;

+ + + + +

visitor access records are reviewed ;

+ + + + +

visitor access records anomalies are reported to .

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing visitor access records

+

visitor access control logs or records

+

visitor access record or log reviews

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with visitor access record responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for maintaining and reviewing visitor access records

+

mechanisms supporting and/or implementing the maintenance and review of visitor access records

+ + + + Automated Records Maintenance and Review + + + + + + + + + +

automated mechanisms used to maintain visitor access records are defined;

+ + + + + + +

automated mechanisms used to review visitor access records are defined;

+ + + + + + + + + +

Maintain and review visitor access records using .

+ + +

Visitor access records may be stored and maintained in a database management system that is accessible by organizational personnel. Automated access to such records facilitates record reviews on a regular basis to determine if access authorizations are current and still required to support organizational mission and business functions.

+ + + + + +

visitor access records are maintained using ;

+ + + + +

visitor access records are reviewed using .

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing visitor access records

+

automated mechanisms supporting management of visitor access records

+

visitor access control logs or records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with visitor access record responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for maintaining and reviewing visitor access records

+

automated mechanisms supporting and/or implementing the maintenance and review of visitor access records

+ + + + + Physical Access Records + + + + + + + + + Limit Personally Identifiable Information Elements + + + + + +

elements identified in the privacy risk assessment to limit personally identifiable information contained in visitor access logs are defined;

+ + + + + + + + + + + +

Limit personally identifiable information contained in visitor access records to the following elements identified in the privacy risk assessment: .

+ + +

Organizations may have requirements that specify the contents of visitor access records. Limiting personally identifiable information in visitor access records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system.

+ + + +

personally identifiable information contained in visitor access records is limited to identified in the privacy risk assessment.

+ + + + + + +

Physical and environmental protection policy

+

personally identifiable information processing policy

+

privacy risk assessment documentation

+

privacy impact assessment

+

visitor access records

+

personally identifiable information inventory

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with visitor access records responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for maintaining and reviewing visitor access records

+ + + + + + Power Equipment and Cabling + + + + + + + +

Protect power equipment and power cabling for the system from damage and destruction.

+ + +

Organizations determine the types of protection necessary for the power equipment and cabling employed at different locations that are both internal and external to organizational facilities and environments of operation. Types of power equipment and cabling include internal cabling and uninterruptable power sources in offices or data centers, generators and power cabling outside of buildings, and power sources for self-contained components such as satellites, vehicles, and other deployable systems.

+ + + + + +

power equipment for the system is protected from damage and destruction;

+ + + + +

power cabling for the system is protected from damage and destruction.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing power equipment/cabling protection

+

facilities housing power equipment/cabling

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility to protect power equipment/cabling

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the protection of power equipment/cabling

+ + + + Redundant Cabling + + + + + +

distance by which redundant power cabling paths are to be physically separated is defined;

+ + + + + + + + + +

Employ redundant power cabling paths that are physically separated by .

+ + +

Physically separate and redundant power cables ensure that power continues to flow in the event that one of the cables is cut or otherwise damaged.

+ + + +

redundant power cabling paths that are physically separated by are employed.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing power equipment/cabling protection

+

facilities housing power equipment/cabling

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility to protect power equipment/cabling

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the protection of power equipment/cabling

+ + + + + Automatic Voltage Controls + + + + + +

the critical system components that require automatic voltage controls are defined;

+ + + + + + + + + +

Employ automatic voltage controls for .

+ + +

Automatic voltage controls can monitor and control voltage. Such controls include voltage regulators, voltage conditioners, and voltage stabilizers.

+ + + +

automatic voltage controls for are employed.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing voltage control

+

security plan

+

list of critical system components requiring automatic voltage controls

+

automatic voltage control mechanisms and associated configurations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for environmental protection of system components

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing automatic voltage controls

+ + + + + + Emergency Shutoff + + + + + +

system or individual system components that require the capability to shut off power in emergency situations is/are defined;

+ + + + + + + + +

location of emergency shutoff switches or devices by system or system component is defined;

+ + + + + + + + + + + +

Provide the capability of shutting off power to in emergency situations;

+ + + +

Place emergency shutoff switches or devices in to facilitate access for authorized personnel; and

+ + + +

Protect emergency power shutoff capability from unauthorized activation.

+ + + +

Emergency power shutoff primarily applies to organizational facilities that contain concentrations of system resources, including data centers, mainframe computer rooms, server rooms, and areas with computer-controlled machinery.

+ + + + + +

the capability to shut off power to in emergency situations is provided;

+ + + + +

emergency shutoff switches or devices are placed in to facilitate access for authorized personnel;

+ + + + +

the emergency power shutoff capability is protected from unauthorized activation.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing power source emergency shutoff

+

emergency shutoff controls or switches

+

locations housing emergency shutoff switches and devices

+

security safeguards protecting the emergency power shutoff capability from unauthorized activation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for the emergency power shutoff capability (both implementing and using the capability)

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing emergency power shutoff

+ + + + Accidental and Unauthorized Activation + + + + + + + + + + Emergency Power + + + + + + + + + + + + + + +

Provide an uninterruptible power supply to facilitate in the event of a primary power source loss.

+ + +

An uninterruptible power supply (UPS) is an electrical system or mechanism that provides emergency power when there is a failure of the main power source. A UPS is typically used to protect computers, data centers, telecommunication equipment, or other electrical equipment where an unexpected power disruption could cause injuries, fatalities, serious mission or business disruption, or loss of data or information. A UPS differs from an emergency power system or backup generator in that the UPS provides near-instantaneous protection from unanticipated power interruptions from the main power source by providing energy stored in batteries, supercapacitors, or flywheels. The battery duration of a UPS is relatively short but provides sufficient time to start a standby power source, such as a backup generator, or properly shut down the system.

+ + + +

an uninterruptible power supply is provided to facilitate in the event of a primary power source loss.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing emergency power

+

uninterruptible power supply

+

uninterruptible power supply documentation

+

uninterruptible power supply test records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for emergency power and/or planning

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing an uninterruptible power supply

+

the uninterruptable power supply

+ + + + Alternate Power Supply — Minimal Operational Capability + + + + + + + + + + + + +

Provide an alternate power supply for the system that is activated and that can maintain minimally required operational capability in the event of an extended loss of the primary power source.

+ + +

Provision of an alternate power supply with minimal operating capability can be satisfied by accessing a secondary commercial power supply or other external power supply.

+ + + + + +

an alternate power supply provided for the system is activated ;

+ + + + +

the alternate power supply provided for the system can maintain minimally required operational capability in the event of an extended loss of the primary power source.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing emergency power

+

alternate power supply

+

alternate power supply documentation

+

alternate power supply test records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for emergency power and/or planning

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing an alternate power supply

+

the alternate power supply

+ + + + + Alternate Power Supply — Self-contained + + + + + + + + + + + + + + + + + +

Provide an alternate power supply for the system that is activated and that is:

+ + +

Self-contained;

+ + + +

Not reliant on external power generation; and

+ + + +

Capable of maintaining in the event of an extended loss of the primary power source.

+ + + +

The provision of a long-term, self-contained power supply can be satisfied by using one or more generators with sufficient capacity to meet the needs of the organization.

+ + + +

an alternate power supply provided for the system is activated ;

+ + +

the alternate power supply provided for the system is self-contained;

+ + + + +

the alternate power supply provided for the system is not reliant on external power generation;

+ + + + +

the alternate power supply provided for the system is capable of maintaining in the event of an extended loss of the primary power source.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing emergency power

+

alternate power supply

+

alternate power supply documentation

+

alternate power supply test records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for emergency power and/or planning

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing an alternate power supply

+

the alternate power supply

+ + + + + + Emergency Lighting + + + + + + + + +

Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.

+ + +

The provision of emergency lighting applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Emergency lighting provisions for the system are described in the contingency plan for the organization. If emergency lighting for the system fails or cannot be provided, organizations consider alternate processing sites for power-related contingencies.

+ + + + + +

automatic emergency lighting that activates in the event of a power outage or disruption is employed for the system;

+ + + + +

automatic emergency lighting that activates in the event of a power outage or disruption is maintained for the system;

+ + + + +

automatic emergency lighting for the system covers emergency exits within the facility;

+ + + + +

automatic emergency lighting for the system covers evacuation routes within the facility.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing emergency lighting

+

emergency lighting documentation

+

emergency lighting test records

+

emergency exits and evacuation routes

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for emergency lighting and/or planning

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing an emergency lighting capability

+ + + + Essential Mission and Business Functions + + + + + + + +

Provide emergency lighting for all areas within the facility supporting essential mission and business functions.

+ + +

Organizations define their essential missions and functions.

+ + + +

emergency lighting is provided for all areas within the facility supporting essential mission and business functions.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing emergency lighting

+

emergency lighting documentation

+

emergency lighting test records

+

emergency exits and evacuation routes

+

areas/locations within facility supporting essential missions and business functions

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for emergency lighting and/or planning

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the emergency lighting capability

+ + + + + + Fire Protection + + + + + + + +

Employ and maintain fire detection and suppression systems that are supported by an independent energy source.

+ + +

The provision of fire detection and suppression systems applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Fire detection and suppression systems that may require an independent energy source include sprinkler systems and smoke detectors. An independent energy source is an energy source, such as a microgrid, that is separate, or can be separated, from the energy sources providing power for the other parts of the facility.

+ + + + + +

fire detection systems are employed;

+ + + + +

employed fire detection systems are supported by an independent energy source;

+ + + + +

employed fire detection systems are maintained;

+ + + + +

fire suppression systems are employed;

+ + + + +

employed fire suppression systems are supported by an independent energy source;

+ + + + +

employed fire suppression systems are maintained.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing fire protection

+

fire suppression and detection devices/systems

+

fire suppression and detection devices/systems documentation

+

test records of fire suppression and detection devices/systems

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for fire detection and suppression devices/systems

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing fire suppression/detection devices/systems

+ + + + Detection Systems — Automatic Activation and Notification + + + + + +

personnel or roles to be notified in the event of a fire is/are defined;

+ + + + + + + +

emergency responders to be notified in the event of a fire are defined;

+ + + + + + + + + +

Employ fire detection systems that activate automatically and notify and in the event of a fire.

+ + +

Organizations can identify personnel, roles, and emergency responders if individuals on the notification list need to have access authorizations or clearances (e.g., to enter to facilities where access is restricted due to the classification or impact level of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire.

+ + + + + +

fire detection systems that activate automatically are employed in the event of a fire;

+ + + + +

fire detection systems that notify automatically are employed in the event of a fire;

+ + + + +

fire detection systems that notify automatically are employed in the event of a fire.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing fire protection

+

facility housing the information system

+

alarm service-level agreements

+

test records of fire suppression and detection devices/systems

+

fire suppression and detection devices/systems documentation

+

alerts/notifications of fire events

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for fire detection and suppression devices/systems

+

organizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing fire detection devices/systems

+

activation of fire detection devices/systems (simulated)

+

automated notifications

+ + + + + Suppression Systems — Automatic Activation and Notification + + + + + +

personnel or roles to be notified in the event of a fire is/are defined;

+ + + + + + + +

emergency responders to be notified in the event of a fire are defined;

+ + + + + + + + + + + +

Employ fire suppression systems that activate automatically and notify and ; and

+ + + +

Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis.

+ + + +

Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances (e.g., to enter to facilities where access is restricted due to the impact level or classification of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire.

+ + + + + + + +

fire suppression systems that activate automatically are employed;

+ + + + +

fire suppression systems that notify automatically are employed;

+ + + + +

fire suppression systems that notify automatically are employed;

+ + + + + + +

an automatic fire suppression capability is employed when the facility is not staffed on a continuous basis.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing fire protection

+

fire suppression and detection devices/systems documentation

+

facility housing the system

+

alarm service-level agreements

+

test records of fire suppression and detection devices/systems

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for fire detection and suppression devices/systems

+

organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders

+

organizational personnel with information security responsibilities

+ + + + + + +

Automated mechanisms supporting and/or implementing fire suppression devices/systems

+

activation of fire suppression devices/systems (simulated)

+

automated notifications

+ + + + + Automatic Fire Suppression + + + + + + + + + Inspections + + + + + +

the frequency for conducting fire protection inspections on the facility is defined;

+ + + + + + + +

a time period for resolving deficiencies identified by fire protection inspections is defined;

+ + + + + + + + + +

Ensure that the facility undergoes fire protection inspections by authorized and qualified inspectors and identified deficiencies are resolved within .

+ + +

Authorized and qualified personnel within the jurisdiction of the organization include state, county, and city fire inspectors and fire marshals. Organizations provide escorts during inspections in situations where the systems that reside within the facilities contain sensitive information.

+ + + + + +

the facility undergoes fire protection inspections by authorized and qualified inspectors;

+ + + + +

the identified deficiencies from fire protection inspections are resolved within .

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing fire protection

+

facility housing the system

+

inspection plans

+

inspection results

+

inspect reports

+

test records of fire suppression and detection devices/systems

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for planning, approving, and executing fire inspections

+

organizational personnel with information security responsibilities

+ + + + + + Environmental Controls + + + + + + + + + + +

environmental control(s) for which to maintain a specified level in the facility where the system resides are defined (if selected);

+ + + + + + + +

acceptable levels for environmental controls are defined;

+ + + + + + + +

frequency at which to monitor environmental control levels is defined;

+ + + + + + + + + + + + +

Maintain levels within the facility where the system resides at ; and

+ + + +

Monitor environmental control levels .

+ + + +

The provision of environmental controls applies primarily to organizational facilities that contain concentrations of system resources (e.g., data centers, mainframe computer rooms, and server rooms). Insufficient environmental controls, especially in very harsh environments, can have a significant adverse impact on the availability of systems and system components that are needed to support organizational mission and business functions.

+ + + + + +

levels are maintained at within the facility where the system resides;

+ + + + +

environmental control levels are monitored .

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing temperature and humidity control

+

temperature and humidity controls

+

facility housing the system

+

temperature and humidity controls documentation

+

temperature and humidity records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for system environmental controls

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the maintenance and monitoring of temperature and humidity levels

+ + + + Automatic Controls + + + + + +

automatic environmental controls to prevent fluctuations that are potentially harmful to the system are defined;

+ + + + + + + + + +

Employ the following automatic environmental controls in the facility to prevent fluctuations potentially harmful to the system: .

+ + +

The implementation of automatic environmental controls provides an immediate response to environmental conditions that can damage, degrade, or destroy organizational systems or systems components.

+ + + +

are employed in the facility to prevent fluctuations that are potentially harmful to the system.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing temperature and humidity controls

+

facility housing the system

+

automated mechanisms for temperature and humidity

+

temperature and humidity controls

+

temperature and humidity documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for system environmental controls

+

organizational personnel with information security responsibilities

+ + + + + + +

Automated mechanisms supporting and/or implementing temperature and humidity levels

+ + + + + Monitoring with Alarms and Notifications + + + + + +

personnel or roles to be notified by environmental control monitoring when environmental changes are potentially harmful to personnel or equipment is/are defined;

+ + + + + + + + + +

Employ environmental control monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to .

+ + +

The alarm or notification may be an audible alarm or a visual message in real time to personnel or roles defined by the organization. Such alarms and notifications can help minimize harm to individuals and damage to organizational assets by facilitating a timely incident response.

+ + + + + +

environmental control monitoring is employed;

+ + + + +

the environmental control monitoring capability provides an alarm or notification to when changes are potentially harmful to personnel or equipment.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing temperature and humidity monitoring

+

facility housing the system

+

logs or records of temperature and humidity monitoring

+

records of changes to temperature and humidity levels that generate alarms or notifications

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for system environmental controls

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing temperature and humidity monitoring

+ + + + + + Water Damage Protection + + + + + + + + +

Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.

+ + +

The provision of water damage protection primarily applies to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern without affecting entire organizations.

+ + + + + +

the system is protected from damage resulting from water leakage by providing master shutoff or isolation valves;

+ + + + +

the master shutoff or isolation valves are accessible;

+ + + + +

the master shutoff or isolation valves are working properly;

+ + + + +

the master shutoff or isolation valves are known to key personnel.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing water damage protection

+

facility housing the system

+

master shutoff valves

+

list of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system

+

master shutoff valve documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for system environmental controls

+

organizational personnel with information security responsibilities

+ + + + + + +

Master water-shutoff valves

+

organizational process for activating master water shutoff

+ + + + Automation Support + + + + + +

personnel or roles to be alerted when the presence of water is detected near the system is/are defined;

+ + + + + + + +

automated mechanisms used to detect the presence of water near the system are defined;

+ + + + + + + + + +

Detect the presence of water near the system and alert using .

+ + +

Automated mechanisms include notification systems, water detection sensors, and alarms.

+ + + + + +

the presence of water near the system can be detected automatically;

+ + + + +

is/are alerted using .

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing water damage protection

+

facility housing the system

+

automated mechanisms for water shutoff valves

+

automated mechanisms for detecting the presence of water in the vicinity of the system

+

alerts/notifications of water detection in system facility

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for system environmental controls

+

organizational personnel with information security responsibilities

+ + + + + + +

Automated mechanisms supporting and/or implementing water detection capabilities and alerts for the system

+ + + + + + Delivery and Removal + + + + + + + + + +

types of system components to be authorized and controlled when entering the facility are defined;

+ + + + + + +

types of system components to be authorized and controlled when exiting the facility are defined;

+ + + + + + + + + + + + + + + + + + + + +

Authorize and control entering and exiting the facility; and

+ + + +

Maintain records of the system components.

+ + + +

Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries.

+ + + + + + + +

are authorized when entering the facility;

+ + + + +

are controlled when entering the facility;

+ + + + +

are authorized when exiting the facility;

+ + + + +

are controlled when exiting the facility;

+ + + + + + +

records of the system components are maintained.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing the delivery and removal of system components from the facility

+

facility housing the system

+

records of items entering and exiting the facility

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for controlling system components entering and exiting the facility

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational process for authorizing, monitoring, and controlling system-related items entering and exiting the facility

+

mechanisms supporting and/or implementing, authorizing, monitoring, and controlling system-related items entering and exiting the facility

+ + + + + Alternate Work Site + + + + + +

alternate work sites allowed for use by employees are defined;

+ + + + + + + +

controls to be employed at alternate work sites are defined;

+ + + + + + + + + + + + + + +

Determine and document the allowed for use by employees;

+ + + +

Employ the following controls at alternate work sites: ;

+ + + +

Assess the effectiveness of controls at alternate work sites; and

+ + + +

Provide a means for employees to communicate with information security and privacy personnel in case of incidents.

+ + + +

Alternate work sites include government facilities or the private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at the sites. Implementing and assessing the effectiveness of organization-defined controls and providing a means to communicate incidents at alternate work sites supports the contingency planning activities of organizations.

+ + + + + +

are determined and documented;

+ + + + +

are employed at alternate work sites;

+ + + + +

the effectiveness of controls at alternate work sites is assessed;

+ + + + +

a means for employees to communicate with information security and privacy personnel in case of incidents is provided.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing alternate work sites for organizational personnel

+

list of security controls required for alternate work sites

+

assessments of security controls at alternate work sites

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel approving the use of alternate work sites

+

organizational personnel using alternate work sites

+

organizational personnel assessing controls at alternate work sites

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for security and privacy at alternate work sites

+

mechanisms supporting alternate work sites

+

security and privacy controls employed at alternate work sites

+

means of communication between personnel at alternate work sites and security and privacy personnel

+ + + + + Location of System Components + + + + + +

physical and environmental hazards that could result in potential damage to system components within the facility are defined;

+ + + + + + + + + + + + + +

Position system components within the facility to minimize potential damage from and to minimize the opportunity for unauthorized access.

+ + +

Physical and environmental hazards include floods, fires, tornadoes, earthquakes, hurricanes, terrorism, vandalism, an electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. Organizations consider the location of entry points where unauthorized individuals, while not being granted access, might nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications using wireless packet sniffers or microphones, or unauthorized disclosure of information.

+ + + +

system components are positioned within the facility to minimize potential damage from and to minimize the opportunity for unauthorized access.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing the positioning of system components

+

documentation providing the location and position of system components within the facility

+

locations housing system components within the facility

+

list of physical and environmental hazards with the potential to damage system components within the facility

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for positioning system components

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for positioning system components

+ + + + Facility Site + + + + + + + + + + Information Leakage + + + + + + + + + + +

Protect the system from information leakage due to electromagnetic signals emanations.

+ + +

Information leakage is the intentional or unintentional release of data or information to an untrusted environment from electromagnetic signals emanations. The security categories or classifications of systems (with respect to confidentiality), organizational security policies, and risk tolerance guide the selection of controls employed to protect systems against information leakage due to electromagnetic signals emanations.

+ + + +

the system is protected from information leakage due to electromagnetic signal emanations.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing information leakage due to electromagnetic signal emanations

+

mechanisms protecting the system against electronic signal emanations

+

facility housing the system

+

records from electromagnetic signal emanation tests

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for system environmental controls

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signal emanations

+ + + + National Emissions Policies and Procedures + + + + + + + +

Protect system components, associated data communications, and networks in accordance with national Emissions Security policies and procedures based on the security category or classification of the information.

+ + +

Emissions Security (EMSEC) policies include the former TEMPEST policies.

+ + + + + +

system components are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information;

+ + + + +

associated data communications are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information;

+ + + + +

networks are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information.

+ + + + + + + + +

Physical and environmental protection policy

+

procedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures

+

system component design documentation

+

system configuration settings and associated documentation system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for system environmental controls

+

organizational personnel with information security responsibilities

+ + + + + + +

Information system components for compliance with national emissions and TEMPEST policies and procedures

+ + + + + + Asset Monitoring and Tracking + + + + + +

asset location technologies to be employed to track and monitor the location and movement of assets is defined;

+ + + + + + + +

assets whose location and movement are to be tracked and monitored are defined;

+ + + + + + + +

controlled areas within which asset location and movement are to be tracked and monitored are defined;

+ + + + + + + + + + + +

Employ to track and monitor the location and movement of within .

+ + +

Asset location technologies can help ensure that critical assets—including vehicles, equipment, and system components—remain in authorized locations. Organizations consult with the Office of the General Counsel and senior agency official for privacy regarding the deployment and use of asset location technologies to address potential privacy concerns.

+ + + +

are employed to track and monitor the location and movement of within .

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing asset monitoring and tracking

+

documentation showing the use of asset location technologies

+

system configuration documentation

+

list of organizational assets requiring tracking and monitoring

+

asset monitoring and tracking records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with asset monitoring and tracking responsibilities

+

legal counsel

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for tracking and monitoring assets

+

mechanisms supporting and/or implementing the tracking and monitoring of assets

+ + + + + Electromagnetic Pulse Protection + + + + + +

protective measures to be employed against electromagnetic pulse damage are defined;

+ + + + + + + + +

system and system components requiring protection against electromagnetic pulse damage are defined;

+ + + + + + + + + + +

Employ against electromagnetic pulse damage for .

+ + +

An electromagnetic pulse (EMP) is a short burst of electromagnetic energy that is spread over a range of frequencies. Such energy bursts may be natural or man-made. EMP interference may be disruptive or damaging to electronic equipment. Protective measures used to mitigate EMP risk include shielding, surge suppressors, ferro-resonant transformers, and earth grounding. EMP protection may be especially significant for systems and applications that are part of the U.S. critical infrastructure.

+ + + +

are employed against electromagnetic pulse damage for .

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing protective measures to mitigate EMP risk to systems and components

+

documentation detailing protective measures to mitigate EMP risk

+

list of locations where protective measures to mitigate EMP risk are implemented

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for physical and environmental protection

+

system developers/integrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms for mitigating EMP risk

+ + + + + Component Marking + + + + + +

system hardware components to be marked indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component are defined;

+ + + + + + + + + + + + + +

Mark indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component.

+ + +

Hardware components that may require marking include input and output devices. Input devices include desktop and notebook computers, keyboards, tablets, and smart phones. Output devices include printers, monitors/video displays, facsimile machines, scanners, copiers, and audio devices. Permissions controlling output to the output devices are addressed in AC-3 or AC-4 . Components are marked to indicate the impact level or classification level of the system to which the devices are connected, or the impact level or classification level of the information permitted to be output. Security marking refers to the use of human-readable security attributes. Security labeling refers to the use of security attributes for internal system data structures. Security marking is generally not required for hardware components that process, store, or transmit information determined by organizations to be in the public domain or to be publicly releasable. However, organizations may require markings for hardware components that process, store, or transmit public information in order to indicate that such information is publicly releasable. Marking of system hardware components reflects applicable laws, executive orders, directives, policies, regulations, and standards.

+ + + +

are marked indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component.

+ + + + + + +

Physical and environmental protection policy

+

procedures addressing component marking

+

list of component marking security attributes

+

component inventory

+

information types and their impact/classification level

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with component marking responsibilities

+

organizational personnel with component inventory responsibilities

+

organizational personnel with information categorization/classification responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for component marking

+

automated mechanisms supporting and/or implementing component marking

+ + + + + Facility Location + + + + + + + + + + + + + + +

Plan the location or site of the facility where the system resides considering physical and environmental hazards; and

+ + + +

For existing facilities, consider the physical and environmental hazards in the organizational risk management strategy.

+ + + +

Physical and environmental hazards include floods, fires, tornadoes, earthquakes, hurricanes, terrorism, vandalism, an electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. The location of system components within the facility is addressed in PE-18.

+ + + + + +

the location or site of the facility where the system resides is planned considering physical and environmental hazards;

+ + + + +

for existing facilities, physical and environmental hazards are considered in the organizational risk management strategy.

+ + + + + + + + +

Physical and environmental protection policy

+

physical site planning documents

+

organizational assessment of risk

+

contingency plan

+

risk mitigation strategy documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with site selection responsibilities for the facility housing the system

+

organizational personnel with risk mitigation responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for site planning

+ + + + + + Planning + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the planning policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the planning procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the planning policy and procedures is defined;

+ + + + + + + +

the frequency with which the current planning policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current planning policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency with which the current planning procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

planning policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the planning policy and the associated planning controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the planning policy and procedures; and

+ + + +

Review and update the current planning:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Planning policy and procedures for the controls in the PL family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to planning policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a planning policy is developed and documented.

+ + + + +

the planning policy is disseminated to ;

+ + + + +

planning procedures to facilitate the implementation of the planning policy and associated planning controls are developed and documented;

+ + + + +

the planning procedures are disseminated to ;

+ + + + + + + + +

the planning policy addresses purpose;

+ + + + +

the planning policy addresses scope;

+ + + + +

the planning policy addresses roles;

+ + + + +

the planning policy addresses responsibilities;

+ + + + +

the planning policy addresses management commitment;

+ + + + +

the planning policy addresses coordination among organizational entities;

+ + + + +

the planning policy addresses compliance;

+ + + + + + +

the planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the planning policy and procedures;

+ + + + + + + + +

the current planning policy is reviewed and updated ;

+ + + + +

the current planning policy is reviewed and updated following ;

+ + + + + + + + +

the current planning procedures are reviewed and updated ;

+ + + + +

the current planning procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Planning policy and procedures

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with planning responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + System Security and Privacy Plans + + + + + +

individuals or groups with whom security and privacy-related activities affecting the system that require planning and coordination is/are assigned;

+ + + + + + + +

personnel or roles to receive distributed copies of the system security and privacy plans is/are assigned;

+ + + + + + + +

frequency to review system security and privacy plans is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Develop security and privacy plans for the system that:

+ + +

Are consistent with the organization’s enterprise architecture;

+ + + +

Explicitly define the constituent system components;

+ + + +

Describe the operational context of the system in terms of mission and business processes;

+ + + +

Identify the individuals that fulfill system roles and responsibilities;

+ + + +

Identify the information types processed, stored, and transmitted by the system;

+ + + +

Provide the security categorization of the system, including supporting rationale;

+ + + +

Describe any specific threats to the system that are of concern to the organization;

+ + + +

Provide the results of a privacy risk assessment for systems processing personally identifiable information;

+ + + +

Describe the operational environment for the system and any dependencies on or connections to other systems or system components;

+ + + +

Provide an overview of the security and privacy requirements for the system;

+ + + +

Identify any relevant control baselines or overlays, if applicable;

+ + + +

Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions;

+ + + +

Include risk determinations for security and privacy architecture and design decisions;

+ + + +

Include security- and privacy-related activities affecting the system that require planning and coordination with ; and

+ + + +

Are reviewed and approved by the authorizing official or designated representative prior to plan implementation.

+ + + + +

Distribute copies of the plans and communicate subsequent changes to the plans to ;

+ + + +

Review the plans ;

+ + + +

Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and

+ + + +

Protect the plans from unauthorized disclosure and modification.

+ + + +

System security and privacy plans are scoped to the system and system components within the defined authorization boundary and contain an overview of the security and privacy requirements for the system and the controls selected to satisfy the requirements. The plans describe the intended application of each selected control in the context of the system with a sufficient level of detail to correctly implement the control and to subsequently assess the effectiveness of the control. The control documentation describes how system-specific and hybrid controls are implemented and the plans and expectations regarding the functionality of the system. System security and privacy plans can also be used in the design and development of systems in support of life cycle-based security and privacy engineering processes. System security and privacy plans are living documents that are updated and adapted throughout the system development life cycle (e.g., during capability determination, analysis of alternatives, requests for proposal, and design reviews). Section 2.1 describes the different types of requirements that are relevant to organizations during the system development life cycle and the relationship between requirements and controls.

+

Organizations may develop a single, integrated security and privacy plan or maintain separate plans. Security and privacy plans relate security and privacy requirements to a set of controls and control enhancements. The plans describe how the controls and control enhancements meet the security and privacy requirements but do not provide detailed, technical descriptions of the design or implementation of the controls and control enhancements. Security and privacy plans contain sufficient information (including specifications of control parameter values for selection and assignment operations explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented.

+

Security and privacy plans need not be single documents. The plans can be a collection of various documents, including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents, including design and implementation specifications where more detailed information can be obtained. The use of references helps reduce the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas, including enterprise architecture, system development life cycle, systems engineering, and acquisition. Security and privacy plans need not contain detailed contingency plan or incident response plan information but can instead provide—explicitly or by reference—sufficient information to define what needs to be accomplished by those plans.

+

Security- and privacy-related activities that may require coordination and planning with other individuals or groups within the organization include assessments, audits, inspections, hardware and software maintenance, acquisition and supply chain risk management, patch management, and contingency plan testing. Planning and coordination include emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can also be included in other documents, as appropriate.

+ + + + + + + + + +

a security plan for the system is developed that is consistent with the organization’s enterprise architecture;

+ + + + +

a privacy plan for the system is developed that is consistent with the organization’s enterprise architecture;

+ + + + + + + + +

a security plan for the system is developed that explicitly defines the constituent system components;

+ + + + +

a privacy plan for the system is developed that explicitly defines the constituent system components;

+ + + + + + + + +

a security plan for the system is developed that describes the operational context of the system in terms of mission and business processes;

+ + + + +

a privacy plan for the system is developed that describes the operational context of the system in terms of mission and business processes;

+ + + + + + + + +

a security plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities;

+ + + + +

a privacy plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities;

+ + + + + + + + +

a security plan for the system is developed that identifies the information types processed, stored, and transmitted by the system;

+ + + + +

a privacy plan for the system is developed that identifies the information types processed, stored, and transmitted by the system;

+ + + + + + + + +

a security plan for the system is developed that provides the security categorization of the system, including supporting rationale;

+ + + + +

a privacy plan for the system is developed that provides the security categorization of the system, including supporting rationale;

+ + + + + + + + +

a security plan for the system is developed that describes any specific threats to the system that are of concern to the organization;

+ + + + +

a privacy plan for the system is developed that describes any specific threats to the system that are of concern to the organization;

+ + + + + + + + +

a security plan for the system is developed that provides the results of a privacy risk assessment for systems processing personally identifiable information;

+ + + + +

a privacy plan for the system is developed that provides the results of a privacy risk assessment for systems processing personally identifiable information;

+ + + + + + + + +

a security plan for the system is developed that describes the operational environment for the system and any dependencies on or connections to other systems or system components;

+ + + + +

a privacy plan for the system is developed that describes the operational environment for the system and any dependencies on or connections to other systems or system components;

+ + + + + + + + +

a security plan for the system is developed that provides an overview of the security requirements for the system;

+ + + + +

a privacy plan for the system is developed that provides an overview of the privacy requirements for the system;

+ + + + + + + + +

a security plan for the system is developed that identifies any relevant control baselines or overlays, if applicable;

+ + + + +

a privacy plan for the system is developed that identifies any relevant control baselines or overlays, if applicable;

+ + + + + + + + +

a security plan for the system is developed that describes the controls in place or planned for meeting the security requirements, including rationale for any tailoring decisions;

+ + + + +

a privacy plan for the system is developed that describes the controls in place or planned for meeting the privacy requirements, including rationale for any tailoring decisions;

+ + + + + + + + +

a security plan for the system is developed that includes risk determinations for security architecture and design decisions;

+ + + + +

a privacy plan for the system is developed that includes risk determinations for privacy architecture and design decisions;

+ + + + + + + + +

a security plan for the system is developed that includes security-related activities affecting the system that require planning and coordination with ;

+ + + + +

a privacy plan for the system is developed that includes privacy-related activities affecting the system that require planning and coordination with ;

+ + + + + + + + +

a security plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation;

+ + + + +

a privacy plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation.

+ + + + + + + + + + +

copies of the plans are distributed to ;

+ + + + +

subsequent changes to the plans are communicated to ;

+ + + + + + +

plans are reviewed ;

+ + + + + + +

plans are updated to address changes to the system and environment of operations;

+ + + + +

plans are updated to address problems identified during the plan implementation;

+ + + + +

plans are updated to address problems identified during control assessments;

+ + + + + + + + +

plans are protected from unauthorized disclosure;

+ + + + +

plans are protected from unauthorized modification.

+ + + + + + + + + + +

Security and privacy planning policy

+

procedures addressing system security and privacy plan development and implementation

+

procedures addressing security and privacy plan reviews and updates

+

enterprise architecture documentation

+

system security plan

+

privacy plan

+

records of system security and privacy plan reviews and updates

+

security and privacy architecture and design documentation

+

risk assessments

+

risk assessment results

+

control assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system security and privacy planning and plan implementation responsibilities

+

system developers

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for system security and privacy plan development, review, update, and approval

+

mechanisms supporting the system security and privacy plan

+ + + + Concept of Operations + + + + + + + + + Functional Architecture + + + + + + + + + Plan and Coordinate with Other Organizational Entities + + + + + + + + + + System Security Plan Update + + + + + + + + + Rules of Behavior + + + + + +

frequency for reviewing and updating the rules of behavior is defined;

+ + + + + + + + + + + + +

frequency for individuals to read and re-acknowledge the rules of behavior is defined (if selected);

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;

+ + + +

Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system;

+ + + +

Review and update the rules of behavior ; and

+ + + +

Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge .

+ + + +

Rules of behavior represent a type of access agreement for organizational users. Other types of access agreements include nondisclosure agreements, conflict-of-interest agreements, and acceptable use agreements (see PS-6 ). Organizations consider rules of behavior based on individual user roles and responsibilities and differentiate between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users, including individuals who receive information from federal systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for organizational and non-organizational users can also be established in AC-8 . The related controls section provides a list of controls that are relevant to organizational rules of behavior. PL-4b , the documented acknowledgment portion of the control, may be satisfied by the literacy training and awareness and role-based training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior include electronic or physical signatures and electronic agreement check boxes or radio buttons.

+ + + + + + + +

rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are established for individuals requiring access to the system;

+ + + + +

rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are provided to individuals requiring access to the system;

+ + + + + + +

before authorizing access to information and the system, a documented acknowledgement from such individuals indicating that they have read, understand, and agree to abide by the rules of behavior is received;

+ + + + +

rules of behavior are reviewed and updated ;

+ + + + +

individuals who have acknowledged a previous version of the rules of behavior are required to read and reacknowledge .

+ + + + + + + + +

Security and privacy planning policy

+

procedures addressing rules of behavior for system users

+

rules of behavior

+

signed acknowledgements

+

records for rules of behavior reviews and updates

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior

+

organizational personnel with responsibility for literacy training and awareness and role-based training

+

organizational personnel who are authorized users of the system and have signed and resigned rules of behavior

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior

+

mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior

+ + + + Social Media and External Site/Application Usage Restrictions + + + + + + + + + + +

Include in the rules of behavior, restrictions on:

+ + +

Use of social media, social networking sites, and external sites/applications;

+ + + +

Posting organizational information on public websites; and

+ + + +

Use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications.

+ + + +

Social media, social networking, and external site/application usage restrictions address rules of behavior related to the use of social media, social networking, and external sites when organizational personnel are using such sites for official duties or in the conduct of official business, when organizational information is involved in social media and social networking transactions, and when personnel access social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining non-public organizational information from social media and networking sites either directly or through inference. Non-public information includes personally identifiable information and system account information.

+ + + + + +

the rules of behavior include restrictions on the use of social media, social networking sites, and external sites/applications;

+ + + + +

the rules of behavior include restrictions on posting organizational information on public websites;

+ + + + +

the rules of behavior include restrictions on the use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications.

+ + + + + + + + +

Security and privacy planning policy

+

procedures addressing rules of behavior for system users

+

rules of behavior

+

training policy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior

+

organizational personnel with responsibility for literacy training and awareness and role-based training

+

organizational personnel who are authorized users of the system and have signed rules of behavior

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for establishing rules of behavior

+

mechanisms supporting and/or implementing the establishment of rules of behavior

+ + + + + + Privacy Impact Assessment + + + + + + + + + Security-related Activity Planning + + + + + + + + + Concept of Operations + + + + + +

frequency for review and update of the Concept of Operations (CONOPS) is defined;

+ + + + + + + + + + + + + + +

Develop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and

+ + + +

Review and update the CONOPS .

+ + + +

The CONOPS may be included in the security or privacy plans for the system or in other system development life cycle documents. The CONOPS is a living document that requires updating throughout the system development life cycle. For example, during system design reviews, the concept of operations is checked to ensure that it remains consistent with the design for controls, the system architecture, and the operational procedures. Changes to the CONOPS are reflected in ongoing updates to the security and privacy plans, security and privacy architectures, and other organizational documents, such as procurement specifications, system development life cycle documents, and systems engineering documents.

+ + + + + +

a CONOPS for the system describing how the organization intends to operate the system from the perspective of information security and privacy is developed;

+ + + + +

the CONOPS is reviewed and updated .

+ + + + + + + + +

Security and privacy planning policy

+

procedures addressing security and privacy CONOPS development

+

procedures addressing security and privacy CONOPS reviews and updates

+

security and privacy CONOPS for the system

+

system security plan

+

privacy plan

+

records of security and privacy CONOPS reviews and updates

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and privacy planning and plan implementation responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for developing, reviewing, and updating the security CONOPS

+

mechanisms supporting and/or implementing the development, review, and update of the security CONOPS

+ + + + + Security and Privacy Architectures + + + + + +

frequency for review and update to reflect changes in the enterprise architecture;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + +

Develop security and privacy architectures for the system that:

+ + +

Describe the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;

+ + + +

Describe the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;

+ + + +

Describe how the architectures are integrated into and support the enterprise architecture; and

+ + + +

Describe any assumptions about, and dependencies on, external systems and services;

+ + + + +

Review and update the architectures to reflect changes in the enterprise architecture; and

+ + + +

Reflect planned architecture changes in security and privacy plans, Concept of Operations (CONOPS), criticality analysis, organizational procedures, and procurements and acquisitions.

+ + + +

The security and privacy architectures at the system level are consistent with the organization-wide security and privacy architectures described in PM-7 , which are integral to and developed as part of the enterprise architecture. The architectures include an architectural description, the allocation of security and privacy functionality (including controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. The architectures can also include other information, such as user roles and the access privileges assigned to each role; security and privacy requirements; types of information processed, stored, and transmitted by the system; supply chain risk management requirements; restoration priorities of information and system services; and other protection needs.

+

SP 800-160-1 provides guidance on the use of security architectures as part of the system development life cycle process. OMB M-19-03 requires the use of the systems security engineering concepts described in SP 800-160-1 for high value assets. Security and privacy architectures are reviewed and updated throughout the system development life cycle, from analysis of alternatives through review of the proposed architecture in the RFP responses to the design reviews before and during implementation (e.g., during preliminary design reviews and critical design reviews).

+

In today’s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is necessary for developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control a baseline configuration for organizational systems is critical to implementing and maintaining effective architectures. The development of the architectures is coordinated with the senior agency information security officer and the senior agency official for privacy to ensure that the controls needed to support security and privacy requirements are identified and effectively implemented. In many circumstances, there may be no distinction between the security and privacy architecture for a system. In other circumstances, security objectives may be adequately satisfied, but privacy objectives may only be partially satisfied by the security requirements. In these cases, consideration of the privacy requirements needed to achieve satisfaction will result in a distinct privacy architecture. The documentation, however, may simply reflect the combined architectures.

+

PL-8 is primarily directed at organizations to ensure that architectures are developed for the system and, moreover, that the architectures are integrated with or tightly coupled to the enterprise architecture. In contrast, SA-17 is primarily directed at the external information technology product and system developers and integrators. SA-17 , which is complementary to PL-8 , is selected when organizations outsource the development of systems or components to external entities and when there is a need to demonstrate consistency with the organization’s enterprise architecture and security and privacy architectures.

+ + + + + + + +

a security architecture for the system describes the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;

+ + + + +

a privacy architecture describes the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;

+ + + + + + +

a security architecture for the system describes how the architecture is integrated into and supports the enterprise architecture;

+ + + + +

a privacy architecture for the system describes how the architecture is integrated into and supports the enterprise architecture;

+ + + + + + + + +

a security architecture for the system describes any assumptions about and dependencies on external systems and services;

+ + + + +

a privacy architecture for the system describes any assumptions about and dependencies on external systems and services;

+ + + + + + + + +

changes in the enterprise architecture are reviewed and updated to reflect changes in the enterprise architecture;

+ + + + + + +

planned architecture changes are reflected in the security plan;

+ + + + +

planned architecture changes are reflected in the privacy plan;

+ + + + +

planned architecture changes are reflected in the Concept of Operations (CONOPS);

+ + + + +

planned architecture changes are reflected in criticality analysis;

+ + + + +

planned architecture changes are reflected in organizational procedures;

+ + + + +

planned architecture changes are reflected in procurements and acquisitions.

+ + + + + + + + + + +

Security and privacy planning policy

+

procedures addressing information security and privacy architecture development

+

procedures addressing information security and privacy architecture reviews and updates

+

enterprise architecture documentation

+

information security and privacy architecture documentation

+

system security plan

+

privacy plan

+

security and privacy CONOPS for the system

+

records of information security and privacy architecture reviews and updates

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and privacy planning and plan implementation responsibilities

+

organizational personnel with information security and privacy architecture development responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for developing, reviewing, and updating the information security and privacy architecture

+

mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture

+ + + + Defense in Depth + + + + + +

controls to be allocated are defined;

+ + + + + + + +

locations and architectural layers are defined;

+ + + + + + + + + + + + + + +

Design the security and privacy architectures for the system using a defense-in-depth approach that:

+ + +

Allocates to ; and

+ + + +

Ensures that the allocated controls operate in a coordinated and mutually reinforcing manner.

+ + + +

Organizations strategically allocate security and privacy controls in the security and privacy architectures so that adversaries must overcome multiple controls to achieve their objective. Requiring adversaries to defeat multiple controls makes it more difficult to attack information resources by increasing the work factor of the adversary; it also increases the likelihood of detection. The coordination of allocated controls is essential to ensure that an attack that involves one control does not create adverse, unintended consequences by interfering with other controls. Unintended consequences can include system lockout and cascading alarms. The placement of controls in systems and organizations is an important activity that requires thoughtful analysis. The value of organizational assets is an important consideration in providing additional layering. Defense-in-depth architectural approaches include modularity and layering (see SA-8(3) ), separation of system and user functionality (see SC-2 ), and security function isolation (see SC-3).

+ + + + + + + +

the security architecture for the system is designed using a defense-in-depth approach that allocates to ;

+ + + + +

the privacy architecture for the system is designed using a defense-in-depth approach that allocates to ;

+ + + + + + + + +

the security architecture for the system is designed using a defense-in-depth approach that ensures the allocated controls operate in a coordinated and mutually reinforcing manner;

+ + + + +

the privacy architecture for the system is designed using a defense-in-depth approach that ensures the allocated controls operate in a coordinated and mutually reinforcing manner.

+ + + + + + + + + + +

Security and privacy planning policy

+

procedures addressing information security and privacy architecture development

+

enterprise architecture documentation

+

information security and privacy architecture documentation

+

system security plan

+

privacy plan

+

security and privacy CONOPS for the system

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and privacy planning and plan implementation responsibilities

+

organizational personnel with information security and privacy architecture development responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for designing the information security and privacy architecture

+

mechanisms supporting and/or implementing the design of the information security and privacy architecture

+ + + + + Supplier Diversity + + + + + +

controls to be allocated are defined;

+ + + + + + + +

locations and architectural layers are defined;

+ + + + + + + + + + + + +

Require that allocated to are obtained from different suppliers.

+ + +

Information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms based on their priorities and development schedules. By deploying different products at different locations, there is an increased likelihood that at least one of the products will detect the malicious code. With respect to privacy, vendors may offer products that track personally identifiable information in systems. Products may use different tracking methods. Using multiple products may result in more assurance that personally identifiable information is inventoried.

+ + + +

that are allocated to are required to be obtained from different suppliers.

+ + + + + + +

Security and privacy planning policy

+

procedures addressing information security and privacy architecture development

+

enterprise architecture documentation

+

information security and privacy architecture documentation

+

system security plan

+

privacy plan

+

security and privacy CONOPS for the system

+

IT acquisitions policy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and privacy planning and plan implementation responsibilities

+

organizational personnel with information security and privacy architecture development responsibilities

+

organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for obtaining information security and privacy safeguards from different suppliers

+ + + + + + Central Management + + + + + +

security and privacy controls and related processes to be centrally managed are defined;

+ + + + + + + + + + + + + +

Centrally manage .

+ + +

Central management refers to organization-wide management and implementation of selected controls and processes. This includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed controls and processes. As the central management of controls is generally associated with the concept of common (inherited) controls, such management promotes and facilitates standardization of control implementations and management and the judicious use of organizational resources. Centrally managed controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate and as part of organizational continuous monitoring.

+

Automated tools (e.g., security information and event management tools or enterprise security monitoring and management tools) can improve the accuracy, consistency, and availability of information associated with centrally managed controls and processes. Automation can also provide data aggregation and data correlation capabilities; alerting mechanisms; and dashboards to support risk-based decision-making within the organization.

+

As part of the control selection processes, organizations determine the controls that may be suitable for central management based on resources and capabilities. It is not always possible to centrally manage every aspect of a control. In such cases, the control can be treated as a hybrid control with the control managed and implemented centrally or at the system level. The controls and control enhancements that are candidates for full or partial central management include but are not limited to: AC-2(1), AC-2(2), AC-2(3), AC-2(4), AC-4(all), AC-17(1), AC-17(2), AC-17(3), AC-17(9), AC-18(1), AC-18(3), AC-18(4), AC-18(5), AC-19(4), AC-22, AC-23, AT-2(1), AT-2(2), AT-3(1), AT-3(2), AT-3(3), AT-4, AU-3, AU-6(1), AU-6(3), AU-6(5), AU-6(6), AU-6(9), AU-7(1), AU-7(2), AU-11, AU-13, AU-16, CA-2(1), CA-2(2), CA-2(3), CA-3(1), CA-3(2), CA-3(3), CA-7(1), CA-9, CM-2(2), CM-3(1), CM-3(4), CM-4, CM-6, CM-6(1), CM-7(2), CM-7(4), CM-7(5), CM-8(all), CM-9(1), CM-10, CM-11, CP-7(all), CP-8(all), SC-43, SI-2, SI-3, SI-4(all), SI-7, SI-8.

+ + + +

are centrally managed.

+ + + + + + +

Security and privacy planning policy

+

procedures addressing security and privacy plan development and implementation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and privacy planning and plan implementation responsibilities

+

organizational personnel with responsibilities for planning/implementing central management of controls and related processes

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for the central management of controls and related processes

+

mechanisms supporting and/or implementing central management of controls and related processes

+ + + + + Baseline Selection + + + + + + + + + + + + + + + + + + + + + +

Select a control baseline for the system.

+ + +

Control baselines are predefined sets of controls specifically assembled to address the protection needs of a group, organization, or community of interest. Controls are chosen for baselines to either satisfy mandates imposed by laws, executive orders, directives, regulations, policies, standards, and guidelines or address threats common to all users of the baseline under the assumptions specific to the baseline. Baselines represent a starting point for the protection of individuals’ privacy, information, and information systems with subsequent tailoring actions to manage risk in accordance with mission, business, or other constraints (see PL-11 ). Federal control baselines are provided in SP 800-53B . The selection of a control baseline is determined by the needs of stakeholders. Stakeholder needs consider mission and business requirements as well as mandates imposed by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. For example, the control baselines in SP 800-53B are based on the requirements from FISMA and PRIVACT . The requirements, along with the NIST standards and guidelines implementing the legislation, direct organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on the system; analyzing the potential adverse impact of the loss or compromise of the information or system on the organization’s operations and assets, individuals, other organizations, or the Nation; and considering the results from system and organizational risk assessments. CNSSI 1253 provides guidance on control baselines for national security systems.

+ + + +

a control baseline for the system is selected.

+ + + + + + +

Security and privacy planning policy

+

procedures addressing system security and privacy plan development and implementation

+

procedures addressing system security and privacy plan reviews and updates

+

system design documentation

+

system architecture and configuration documentation

+

system categorization decision

+

information types stored, transmitted, and processed by the system

+

system element/component information

+

stakeholder needs analysis

+

list of security and privacy requirements allocated to the system, system elements, and environment of operation

+

list of contractual requirements allocated to external providers of the system or system element

+

business impact analysis or criticality analysis

+

risk assessments

+

risk management strategy

+

organizational security and privacy policy

+

federal or organization-approved or mandated baselines or overlays

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and privacy planning and plan implementation responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with responsibility for organizational risk management activities

+ + + + + Baseline Tailoring + + + + + + + + + + + + + + + + + + + + + +

Tailor the selected control baseline by applying specified tailoring actions.

+ + +

The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. Tailoring actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific mission and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. Tailoring guidance is provided in SP 800-53B . Tailoring a control baseline is accomplished by identifying and designating common controls, applying scoping considerations, selecting compensating controls, assigning values to control parameters, supplementing the control baseline with additional controls as needed, and providing information for control implementation. The general tailoring actions in SP 800-53B can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in SP 800-53B in accordance with the security and privacy requirements from FISMA, PRIVACT , and OMB A-130 . Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in SP 800-53B to specialize or customize the controls that represent the specific needs and concerns of those entities.

+ + + +

the selected control baseline is tailored by applying specified tailoring actions.

+ + + + + + +

Security and privacy planning policy

+

procedures addressing system security and privacy plan development and implementation

+

system design documentation

+

system categorization decision

+

information types stored, transmitted, and processed by the system

+

system element/component information

+

stakeholder needs analysis

+

list of security and privacy requirements allocated to the system, system elements, and environment of operation

+

list of contractual requirements allocated to external providers of the system or system element

+

business impact analysis or criticality analysis

+

risk assessments

+

risk management strategy

+

organizational security and privacy policy

+

federal or organization-approved or mandated baselines or overlays

+

baseline tailoring rationale

+

system security plan

+

privacy plan

+

records of system security and privacy plan reviews and updates

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and privacy planning and plan implementation responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + Program Management + + Program Management Controls +

FISMA, PRIVACT , and OMB A-130 require federal agencies to develop, implement, and provide oversight for organization-wide information security and privacy programs to help ensure the confidentiality, integrity, and availability of federal information processed, stored, and transmitted by federal information systems and to protect individual privacy. The program management (PM) controls described in this section are implemented at the organization level and not directed at individual information systems. The PM controls have been designed to facilitate organizational compliance with applicable federal laws, executive orders, directives, policies, regulations, and standards. The controls are independent of FIPS 200 impact levels and, therefore, are not associated with the control baselines described in SP 800-53B.

+

Organizations document program management controls in the information security and privacy program plans. The organization-wide information security program plan (see PM-1 ) and privacy program plan (see PM-18 ) supplement system security and privacy plans (see PL-2 ) developed for organizational information systems. Together, the system security and privacy plans for the individual information systems and the information security and privacy program plans cover the totality of security and privacy controls employed by the organization.

+ + + Information Security Program Plan + + + + + +

the frequency at which to review and update the organization-wide information security program plan is defined;

+ + + + + + + +

events that trigger the review and update of the organization-wide information security program plan are defined;

+ + + + + + + + + + + + + + + + + + + + +

Develop and disseminate an organization-wide information security program plan that:

+ + +

Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;

+ + + +

Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;

+ + + +

Reflects the coordination among organizational entities responsible for information security; and

+ + + +

Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;

+ + + + +

Review and update the organization-wide information security program plan and following ; and

+ + + +

Protect the information security program plan from unauthorized disclosure and modification.

+ + + +

An information security program plan is a formal document that provides an overview of the security requirements for an organization-wide information security program and describes the program management controls and common controls in place or planned for meeting those requirements. An information security program plan can be represented in a single document or compilations of documents. Privacy program plans and supply chain risk management plans are addressed separately in PM-18 and SR-2 , respectively.

+

An information security program plan documents implementation details about program management and common controls. The plan provides sufficient information about the controls (including specification of parameters for assignment and selection operations, explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plan and a determination of the risk to be incurred if the plan is implemented as intended. Updates to information security program plans include organizational changes and problems identified during plan implementation or control assessments.

+

Program management controls may be implemented at the organization level or the mission or business process level, and are essential for managing the organization’s information security program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular system. Together, the individual system security plans and the organization-wide information security program plan provide complete coverage for the security controls employed within the organization.

+

Common controls available for inheritance by organizational systems are documented in an appendix to the organization’s information security program plan unless the controls are included in a separate security plan for a system. The organization-wide information security program plan indicates which separate security plans contain descriptions of common controls.

+

Events that may precipitate an update to the information security program plan include, but are not limited to, organization-wide assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines.

+ + + + + + + +

an organization-wide information security program plan is developed;

+ + + + +

the information security program plan is disseminated;

+ + + + + + +

the information security program plan provides an overview of the requirements for the security program;

+ + + + +

the information security program plan provides a description of the security program management controls in place or planned for meeting those requirements;

+ + + + +

the information security program plan provides a description of the common controls in place or planned for meeting those requirements;

+ + + + + + + + +

the information security program plan includes the identification and assignment of roles;

+ + + + +

the information security program plan includes the identification and assignment of responsibilities;

+ + + + +

the information security program plan addresses management commitment;

+ + + + +

the information security program plan addresses coordination among organizational entities;

+ + + + +

the information security program plan addresses compliance;

+ + + + + + +

the information security program plan reflects the coordination among the organizational entities responsible for information security;

+ + + + +

the information security program plan is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;

+ + + + + + + + +

the information security program plan is reviewed and updated ;

+ + + + +

the information security program plan is reviewed and updated following ;

+ + + + + + + + +

the information security program plan is protected from unauthorized disclosure;

+ + + + +

the information security program plan is protected from unauthorized modification.

+ + + + + + + + + + +

Information security program plan

+

procedures addressing program plan development and implementation

+

procedures addressing program plan reviews and updates

+

procedures addressing coordination of the program plan with relevant entities

+

procedures for program plan approvals

+

records of program plan reviews and updates

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security program planning and plan implementation responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for information security program plan development, review, update, and approval

+

mechanisms supporting and/or implementing the information security program plan

+ + + + + Information Security Program Leadership Role + + + + + + + + + + +

Appoint a senior agency information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.

+ + +

The senior agency information security officer is an organizational official. For federal agencies (as defined by applicable laws, executive orders, regulations, directives, policies, and standards), this official is the senior agency information security officer. Organizations may also refer to this official as the senior information security officer or chief information security officer.

+ + + + + +

a senior agency information security officer is appointed;

+ + + + +

the senior agency information security officer is provided with the mission and resources to coordinate an organization-wide information security program;

+ + + + +

the senior agency information security officer is provided with the mission and resources to develop an organization-wide information security program;

+ + + + +

the senior agency information security officer is provided with the mission and resources to implement an organization-wide information security program;

+ + + + +

the senior agency information security officer is provided with the mission and resources to maintain an organization-wide information security program.

+ + + + + + + + +

Information security program plan

+

procedures addressing program plan development and implementation

+

procedures addressing program plan reviews and updates

+

procedures addressing coordination of the program plan with relevant entities

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security program planning and plan implementation responsibilities

+

senior information security officer

+

organizational personnel with information security responsibilities

+ + + + + Information Security and Privacy Resources + + + + + + + + + + + +

Include the resources needed to implement the information security and privacy programs in capital planning and investment requests and document all exceptions to this requirement;

+ + + +

Prepare documentation required for addressing information security and privacy programs in capital planning and investment requests in accordance with applicable laws, executive orders, directives, policies, regulations, standards; and

+ + + +

Make available for expenditure, the planned information security and privacy resources.

+ + + +

Organizations consider establishing champions for information security and privacy and, as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board or similar group to manage and provide oversight for the information security and privacy aspects of the capital planning and investment control process.

+ + + + + + + +

the resources needed to implement the information security program are included in capital planning and investment requests, and all exceptions are documented;

+ + + + +

the resources needed to implement the privacy program are included in capital planning and investment requests, and all exceptions are documented;

+ + + + + + + + +

the documentation required for addressing the information security program in capital planning and investment requests is prepared in accordance with applicable laws, executive orders, directives, policies, regulations, standards;

+ + + + +

the documentation required for addressing the privacy program in capital planning and investment requests is prepared in accordance with applicable laws, executive orders, directives, policies, regulations, standards;

+ + + + + + + + +

information security resources are made available for expenditure as planned;

+ + + + +

privacy resources are made available for expenditure as planned.

+ + + + + + + + + + +

Information security program plan

+

Exhibit 300

+

Exhibit 53

+

business cases for capital planning and investment

+

procedures for capital planning and investment

+

documentation of exceptions to capital planning requirements

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security program planning responsibilities

+

organizational personnel with privacy program planning responsibilities

+

organizational personnel responsible for capital planning and investment

+

organizational personnel with information security responsibilities

+

organizational personnel with privacy responsibilities

+ + + + + + +

Organizational processes for capital planning and investment

+

organizational processes for business case, Exhibit 300, and Exhibit 53 development

+

mechanisms supporting the capital planning and investment process

+ + + + + Plan of Action and Milestones Process + + + + + + + + + + + + + + + + +

Implement a process to ensure that plans of action and milestones for the information security, privacy, and supply chain risk management programs and associated organizational systems:

+ + +

Are developed and maintained;

+ + + +

Document the remedial information security, privacy, and supply chain risk management actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and

+ + + +

Are reported in accordance with established reporting requirements.

+ + + + +

Review plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.

+ + + +

The plan of action and milestones is a key organizational document and is subject to reporting requirements established by the Office of Management and Budget. Organizations develop plans of action and milestones with an organization-wide perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from control assessments and continuous monitoring activities. There can be multiple plans of action and milestones corresponding to the information system level, mission/business process level, and organizational/governance level. While plans of action and milestones are required for federal organizations, other types of organizations can help reduce risk by documenting and tracking planned remediations. Specific guidance on plans of action and milestones at the system level is provided in CA-5.

+ + + + + + + + + +

a process to ensure that plans of action and milestones for the information security program and associated organizational systems are developed;

+ + + + +

a process to ensure that plans of action and milestones for the information security program and associated organizational systems are maintained;

+ + + + +

a process to ensure that plans of action and milestones for the privacy program and associated organizational systems are developed;

+ + + + +

a process to ensure that plans of action and milestones for the privacy program and associated organizational systems are maintained;

+ + + + +

a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems are developed;

+ + + + +

a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems are maintained;

+ + + + + + + + +

a process to ensure that plans of action and milestones for the information security program and associated organizational systems document remedial information security risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation;

+ + + + +

a process to ensure that plans of action and milestones for the privacy program and associated organizational systems document remedial privacy risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation;

+ + + + +

a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems document remedial supply chain risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation;

+ + + + + + + + +

a process to ensure that plans of action and milestones for the information security risk management programs and associated organizational systems are reported in accordance with established reporting requirements;

+ + + + +

a process to ensure that plans of action and milestones for the privacy risk management programs and associated organizational systems are reported in accordance with established reporting requirements;

+ + + + +

a process to ensure that plans of action and milestones for the supply chain risk management programs and associated organizational systems are reported in accordance with established reporting requirements;

+ + + + + + + + + + +

plans of action and milestones are reviewed for consistency with the organizational risk management strategy;

+ + + + +

plans of action and milestones are reviewed for consistency with organization-wide priorities for risk response actions.

+ + + + + + + + + + +

Information security program plan

+

plans of action and milestones

+

procedures addressing plans of action and milestones development and maintenance

+

procedures addressing plans of action and milestones reporting

+

procedures for reviewing plans of action and milestones for consistency with risk management strategy and risk response priorities

+

results of risk assessments associated with plans of action and milestones

+

OMB FISMA reporting requirements

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for developing, maintaining, reviewing, and reporting plans of action and milestones

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for plan of action and milestones development, review, maintenance, and reporting

+

mechanisms supporting plans of action and milestones

+ + + + + System Inventory + + + + + +

the frequency at which to update the inventory of organizational systems is defined;

+ + + + + + + + + + +

Develop and update an inventory of organizational systems.

+ + +

OMB A-130 provides guidance on developing systems inventories and associated reporting requirements. System inventory refers to an organization-wide inventory of systems, not system components as described in CM-8.

+ + + + + +

an inventory of organizational systems is developed;

+ + + + +

the inventory of organizational systems is updated .

+ + + + + + + + +

Information security program plan

+

system inventory

+

procedures addressing system inventory development and maintenance

+

OMB FISMA reporting guidance

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security program planning and plan implementation responsibilities

+

organizational personnel responsible for developing and maintaining the system inventory

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for system inventory development and maintenance

+

mechanisms supporting the system inventory

+ + + + Inventory of Personally Identifiable Information + + + + + +

the frequency at which to update the inventory of systems, applications, and projects that process personally identifiable information is defined;

+ + + + + + + + + + + + + + + + + + + +

Establish, maintain, and update an inventory of all systems, applications, and projects that process personally identifiable information.

+ + +

An inventory of systems, applications, and projects that process personally identifiable information supports the mapping of data actions, providing individuals with privacy notices, maintaining accurate personally identifiable information, and limiting the processing of personally identifiable information when such information is not needed for operational purposes. Organizations may use this inventory to ensure that systems only process the personally identifiable information for authorized purposes and that this processing is still relevant and necessary for the purpose specified therein.

+ + + + + +

an inventory of all systems, applications, and projects that process personally identifiable information is established;

+ + + + +

an inventory of all systems, applications, and projects that process personally identifiable information is maintained;

+ + + + +

an inventory of all systems, applications, and projects that process personally identifiable information is updated .

+ + + + + + + + +

Procedures addressing system inventory development, maintenance, and updates

+

OMB FISMA reporting guidance

+

privacy program plan

+

information security program plan

+

personally identifiable information processing policy

+

system inventory

+

personally identifiable information inventory

+

data mapping documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for developing and maintaining the system inventory

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for system inventory development, maintenance, and updates

+

mechanisms supporting the system inventory

+ + + + + + Measures of Performance + + + + + + + + + + + + + + +

Develop, monitor, and report on the results of information security and privacy measures of performance.

+ + +

Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security and privacy programs and the controls employed in support of the program. To facilitate security and privacy risk management, organizations consider aligning measures of performance with the organizational risk tolerance as defined in the risk management strategy.

+ + + + + +

information security measures of performance are developed;

+ + + + +

information security measures of performance are monitored;

+ + + + +

the results of information security measures of performance are reported;

+ + + + +

privacy measures of performance are developed;

+ + + + +

privacy measures of performance are monitored;

+ + + + +

the results of privacy measures of performance are reported.

+ + + + + + + + +

Information security program plan

+

privacy program plan

+

information security measures of performance

+

privacy measures of performance

+

procedures addressing the development, monitoring, and reporting of information security and privacy measures of performance

+

risk management strategy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for developing, monitoring, and reporting information security and privacy measures of performance

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for developing, monitoring, and reporting information security and privacy measures of performance

+

mechanisms supporting the development, monitoring, and reporting of information security and privacy measures of performance

+ + + + + Enterprise Architecture + + + + + + + + + + + + + + + + + + + +

Develop and maintain an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation.

+ + +

The integration of security and privacy requirements and controls into the enterprise architecture helps to ensure that security and privacy considerations are addressed throughout the system development life cycle and are explicitly related to the organization’s mission and business processes. The process of security and privacy requirements integration also embeds into the enterprise architecture and the organization’s security and privacy architectures consistent with the organizational risk management strategy. For PM-7, security and privacy architectures are developed at a system-of-systems level, representing all organizational systems. For PL-8 , the security and privacy architectures are developed at a level that represents an individual system. The system-level architectures are consistent with the security and privacy architectures defined for the organization. Security and privacy requirements and control integration are most effectively accomplished through the rigorous application of the Risk Management Framework SP 800-37 and supporting security standards and guidelines.

+ + + + + +

an enterprise architecture is developed with consideration for information security;

+ + + + +

an enterprise architecture is maintained with consideration for information security;

+ + + + +

an enterprise architecture is developed with consideration for privacy;

+ + + + +

an enterprise architecture is maintained with consideration for privacy;

+ + + + +

an enterprise architecture is developed with consideration for the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation;

+ + + + +

an enterprise architecture is maintained with consideration for the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation.

+ + + + + + + + +

Information security program plan

+

privacy program plan

+

enterprise architecture documentation

+

procedures addressing enterprise architecture development

+

results of risk assessments of enterprise architecture

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for developing enterprise architecture

+

organizational personnel responsible for risk assessments of enterprise architecture

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for enterprise architecture development

+

mechanisms supporting the enterprise architecture and its development

+ + + + Offloading + + + + + +

non-essential functions or services to be offloaded are defined;

+ + + + + + + + + + +

Offload to other systems, system components, or an external provider.

+ + +

Not every function or service that a system provides is essential to organizational mission or business functions. Printing or copying is an example of a non-essential but supporting service for an organization. Whenever feasible, such supportive but non-essential functions or services are not co-located with the functions or services that support essential mission or business functions. Maintaining such functions on the same system or system component increases the attack surface of the organization’s mission-essential functions or services. Moving supportive but non-essential functions to a non-critical system, system component, or external provider can also increase efficiency by putting those functions or services under the control of individuals or providers who are subject matter experts in the functions or services.

+ + + +

are offloaded to other systems, system components, or an external provider.

+ + + + + + +

Information security program plan

+

privacy program plan

+

enterprise architecture documentation

+

procedures addressing enterprise architecture development

+

procedures for identifying and offloading functions or services

+

results of risk assessments of enterprise architecture

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for developing enterprise architecture

+

organizational personnel responsible for risk assessments of enterprise architecture

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for enterprise architecture development

+

mechanisms supporting the enterprise architecture and its development

+

mechanisms for offloading functions and services

+ + + + + + Critical Infrastructure Plan + + + + + + + + + + + + + + + + + + + +

Address information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.

+ + +

Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.

+ + + + + +

information security issues are addressed in the development of a critical infrastructure and key resources protection plan;

+ + + + +

information security issues are addressed in the documentation of a critical infrastructure and key resources protection plan;

+ + + + +

information security issues are addressed in the update of a critical infrastructure and key resources protection plan;

+ + + + +

privacy issues are addressed in the development of a critical infrastructure and key resources protection plan;

+ + + + +

privacy issues are addressed in the documentation of a critical infrastructure and key resources protection plan;

+ + + + +

privacy issues are addressed in the update of a critical infrastructure and key resources protection plan.

+ + + + + + + + +

Information security program plan

+

privacy program plan

+

critical infrastructure and key resources protection plan

+

procedures addressing the development, documentation, and updating of the critical infrastructure and key resources protection plan

+

HSPD 7

+

National Infrastructure Protection Plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for developing, documenting, and updating the critical infrastructure and key resources protection plan

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for developing, documenting, and updating the critical infrastructure and key resources protection plan

+

mechanisms supporting the development, documentation, and updating of the critical infrastructure and key resources protection plan

+ + + + + Risk Management Strategy + + + + + +

the frequency at which to review and update the risk management strategy is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Develops a comprehensive strategy to manage:

+ + +

Security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems; and

+ + + +

Privacy risk to individuals resulting from the authorized processing of personally identifiable information;

+ + + + +

Implement the risk management strategy consistently across the organization; and

+ + + +

Review and update the risk management strategy or as required, to address organizational changes.

+ + + +

An organization-wide risk management strategy includes an expression of the security and privacy risk tolerance for the organization, security and privacy risk mitigation strategies, acceptable risk assessment methodologies, a process for evaluating security and privacy risk across the organization with respect to the organization’s risk tolerance, and approaches for monitoring risk over time. The senior accountable official for risk management (agency head or designated official) aligns information security management processes with strategic, operational, and budgetary planning processes. The risk executive function, led by the senior accountable official for risk management, can facilitate consistent application of the risk management strategy organization-wide. The risk management strategy can be informed by security and privacy risk-related inputs from other sources, both internal and external to the organization, to ensure that the strategy is broad-based and comprehensive. The supply chain risk management strategy described in PM-30 can also provide useful inputs to the organization-wide risk management strategy.

+ + + + + + + +

a comprehensive strategy is developed to manage security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems;

+ + + + +

a comprehensive strategy is developed to manage privacy risk to individuals resulting from the authorized processing of personally identifiable information;

+ + + + + + +

the risk management strategy is implemented consistently across the organization;

+ + + + +

the risk management strategy is reviewed and updated or as required to address organizational changes.

+ + + + + + + + +

Information security program plan

+

privacy program plan

+

risk management strategy

+

supply chain risk management strategy

+

procedures addressing the development, implementation, review, and update of the risk management strategy

+

risk assessment results relevant to the risk management strategy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for the development, implementation, review, and update of the risk management strategy

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for the development, implementation, review, and update of the risk management strategy

+

mechanisms supporting the development, implementation, review, and update of the risk management strategy

+ + + + + Authorization Process + + + + + + + + + + + + + + + +

Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes;

+ + + +

Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and

+ + + +

Integrate the authorization processes into an organization-wide risk management program.

+ + + +

Authorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The authorization processes for the organization are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations, organizational assets, individuals, other organizations, and the Nation.

+ + + + + + + +

the security state of organizational systems and the environments in which those systems operate are managed through authorization processes;

+ + + + +

the privacy state of organizational systems and the environments in which those systems operate are managed through authorization processes;

+ + + + + + +

individuals are designated to fulfill specific roles and responsibilities within the organizational risk management process;

+ + + + +

the authorization processes are integrated into an organization-wide risk management program.

+ + + + + + + + +

Information security program plan

+

privacy program plan

+

procedures addressing management (i.e., documentation, tracking, and reporting) of the authorization process

+

assessment, authorization, and monitoring policy

+

assessment, authorization, and monitoring procedures

+

system authorization documentation

+

lists or other documentation about authorization process roles and responsibilities

+

risk assessment results relevant to the authorization process and the organization-wide risk management program

+

organizational risk management strategy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for management of the authorization process

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for authorization

+

mechanisms supporting the authorization process

+ + + + + Mission and Business Process Definition + + + + + +

the frequency at which to review and revise the mission and business processes is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + +

Define organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and

+ + + +

Determine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and

+ + + +

Review and revise the mission and business processes .

+ + + +

Protection needs are technology-independent capabilities that are required to counter threats to organizations, individuals, systems, and the Nation through the compromise of information (i.e., loss of confidentiality, integrity, availability, or privacy). Information protection and personally identifiable information processing needs are derived from the mission and business needs defined by organizational stakeholders, the mission and business processes designed to meet those needs, and the organizational risk management strategy. Information protection and personally identifiable information processing needs determine the required controls for the organization and the systems. Inherent to defining protection and personally identifiable information processing needs is an understanding of the adverse impact that could result if a compromise or breach of information occurs. The categorization process is used to make such potential impact determinations. Privacy risks to individuals can arise from the compromise of personally identifiable information, but they can also arise as unintended consequences or a byproduct of the processing of personally identifiable information at any stage of the information life cycle. Privacy risk assessments are used to prioritize the risks that are created for individuals from system processing of personally identifiable information. These risk assessments enable the selection of the required privacy controls for the organization and systems. Mission and business process definitions and the associated protection requirements are documented in accordance with organizational policies and procedures.

+ + + + + + + +

organizational mission and business processes are defined with consideration for information security;

+ + + + +

organizational mission and business processes are defined with consideration for privacy;

+ + + + +

organizational mission and business processes are defined with consideration for the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;

+ + + + + + + + +

information protection needs arising from the defined mission and business processes are determined;

+ + + + +

personally identifiable information processing needs arising from the defined mission and business processes are determined;

+ + + + + + +

the mission and business processes are reviewed and revised .

+ + + + + + + + +

Information security program plan

+

privacy program plan

+

risk management strategy

+

procedures for determining mission and business protection needs

+

information security and privacy risk assessment results relevant to the determination of mission and business protection needs

+

personally identifiable information processing policy

+

personally identifiable information inventory

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for enterprise risk management

+

organizational personnel responsible for determining information protection needs for mission and business processes

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for defining mission and business processes and their information protection needs

+ + + + + Insider Threat Program + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Implement an insider threat program that includes a cross-discipline insider threat incident handling team.

+ + +

Organizations that handle classified information are required, under Executive Order 13587 EO 13587 and the National Insider Threat Policy ODNI NITP , to establish insider threat programs. The same standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of controlled unclassified and other information in non-national security systems. Insider threat programs include controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and nontechnical information to identify potential insider threat concerns. A senior official is designated by the department or agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs require organizations to prepare department or agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from offices in the department or agency for insider threat analysis, and conduct self-assessments of department or agency insider threat posture.

+

Insider threat programs can leverage the existence of incident handling teams that organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace, including ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues. These precursors can guide organizational officials in more focused, targeted monitoring efforts. However, the use of human resource records could raise significant concerns for privacy. The participation of a legal team, including consultation with the senior agency official for privacy, ensures that monitoring activities are performed in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

+ + + +

an insider threat program that includes a cross-discipline insider threat incident handling team is implemented.

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for the insider threat program

+

members of the cross-discipline insider threat incident handling team

+

legal counsel

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team

+

mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team

+ + + + + Security and Privacy Workforce + + + + + + + + + + +

Establish a security and privacy workforce development and improvement program.

+ + +

Security and privacy workforce development and improvement programs include defining the knowledge, skills, and abilities needed to perform security and privacy duties and tasks; developing role-based training programs for individuals assigned security and privacy roles and responsibilities; and providing standards and guidelines for measuring and building individual qualifications for incumbents and applicants for security- and privacy-related positions. Such workforce development and improvement programs can also include security and privacy career paths to encourage security and privacy professionals to advance in the field and fill positions with greater responsibility. The programs encourage organizations to fill security- and privacy-related positions with qualified personnel. Security and privacy workforce development and improvement programs are complementary to organizational security awareness and training programs and focus on developing and institutionalizing the core security and privacy capabilities of personnel needed to protect organizational operations, assets, and individuals.

+ + + + + +

a security workforce development and improvement program is established;

+ + + + +

a privacy workforce development and improvement program is established.

+ + + + + + + + +

Information security program plan

+

privacy program plan

+

information security and privacy workforce development and improvement program documentation

+

procedures for the information security and privacy workforce development and improvement program

+

information security and privacy role-based training program documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for the information security and privacy workforce development and improvement program

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for implementing the information security and privacy workforce development and improvement program

+

mechanisms supporting and/or implementing the information security and privacy workforce development and improvement program

+ + + + + Testing, Training, and Monitoring + + + + + + + + + + + + + + + + + + + + + + +

Implement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems:

+ + +

Are developed and maintained; and

+ + + +

Continue to be executed; and

+ + + + +

Review testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.

+ + + +

A process for organization-wide security and privacy testing, training, and monitoring helps ensure that organizations provide oversight for testing, training, and monitoring activities and that those activities are coordinated. With the growing importance of continuous monitoring programs, the implementation of information security and privacy across the three levels of the risk management hierarchy and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing assessments supporting a variety of controls. Security and privacy training activities, while focused on individual systems and specific roles, require coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.

+ + + + + + + + + +

a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems are developed;

+ + + + +

a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems are maintained;

+ + + + +

a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems are developed;

+ + + + +

a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems are maintained;

+ + + + + + + + +

a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems continue to be executed;

+ + + + +

a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems continue to be executed;

+ + + + + + + + + + +

testing plans are reviewed for consistency with the organizational risk management strategy;

+ + + + +

training plans are reviewed for consistency with the organizational risk management strategy;

+ + + + +

monitoring plans are reviewed for consistency with the organizational risk management strategy;

+ + + + +

testing plans are reviewed for consistency with organization-wide priorities for risk response actions;

+ + + + +

training plans are reviewed for consistency with organization-wide priorities for risk response actions;

+ + + + +

monitoring plans are reviewed for consistency with organization-wide priorities for risk response actions.

+ + + + + + + + + + +

Information security program plan

+

privacy program plan

+

plans for conducting security and privacy testing, training, and monitoring activities

+

organizational procedures addressing the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities

+

risk management strategy

+

procedures for the review of plans for conducting security and privacy testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities

+

results of risk assessments associated with conducting security and privacy testing, training, and monitoring activities

+

documentation of the timely execution of plans for conducting security and privacy testing, training, and monitoring activities

+

other relevant documents or records

+ + + + + + +

Organizational personnel with responsibilities for developing and maintaining plans for conducting security and privacy testing, training, and monitoring activities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities

+

mechanisms supporting the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities

+ + + + + Security and Privacy Groups and Associations + + + + + + + + + +

Establish and institutionalize contact with selected groups and associations within the security and privacy communities:

+ + +

To facilitate ongoing security and privacy education and training for organizational personnel;

+ + + +

To maintain currency with recommended security and privacy practices, techniques, and technologies; and

+ + + +

To share current security and privacy information, including threats, vulnerabilities, and incidents.

+ + + +

Ongoing contact with security and privacy groups and associations is important in an environment of rapidly changing technologies and threats. Groups and associations include special interest groups, professional associations, forums, news groups, users’ groups, and peer groups of security and privacy professionals in similar organizations. Organizations select security and privacy groups and associations based on mission and business functions. Organizations share threat, vulnerability, and incident information as well as contextual insights, compliance techniques, and privacy problems consistent with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.

+ + + + + + + +

contact is established and institutionalized with selected groups and associations within the security community to facilitate ongoing security education and training for organizational personnel;

+ + + + +

contact is established and institutionalized with selected groups and associations within the privacy community to facilitate ongoing privacy education and training for organizational personnel;

+ + + + + + + + +

contact is established and institutionalized with selected groups and associations within the security community to maintain currency with recommended security practices, techniques, and technologies;

+ + + + +

contact is established and institutionalized with selected groups and associations within the privacy community to maintain currency with recommended privacy practices, techniques, and technologies;

+ + + + + + + + +

contact is established and institutionalized with selected groups and associations within the security community to share current security information, including threats, vulnerabilities, and incidents;

+ + + + +

contact is established and institutionalized with selected groups and associations within the privacy community to share current privacy information, including threats, vulnerabilities, and incidents.

+ + + + + + + + + + +

Information security program plan

+

privacy program plan

+

risk management strategy

+

procedures for establishing and institutionalizing contacts with security and privacy groups and associations

+

lists or other records of contacts with and/or membership in security and privacy groups and associations

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for establishing and institutionalizing contact with security and privacy groups and associations

+

organizational personnel with information security and privacy responsibilities

+

personnel from selected groups and associations with which the organization has established and institutionalized contact

+ + + + + + +

Organizational processes for establishing and institutionalizing contact with security and privacy groups and associations

+

mechanisms supporting contact with security and privacy groups and associations

+ + + + + Threat Awareness Program + + + + + + + + + +

Implement a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence.

+ + +

Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it may be more likely that adversaries can successfully breach or compromise organizational systems. One of the best techniques to address this concern is for organizations to share threat information, including threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, and threat intelligence (i.e., indications and warnings about threats). Threat information sharing may be bilateral or multilateral. Bilateral threat sharing includes government-to-commercial and government-to-government cooperatives. Multilateral threat sharing includes organizations taking part in threat-sharing consortia. Threat information may require special agreements and protection, or it may be freely shared.

+ + + +

a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence is implemented.

+ + + + + + +

Information security program plan

+

privacy program plan

+

threat awareness program policy

+

threat awareness program procedures

+

risk assessment results relevant to threat awareness

+

documentation about the cross-organization information-sharing capability

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for the threat awareness program

+

organizational personnel responsible for the cross-organization information-sharing capability

+

organizational personnel with information security and privacy responsibilities

+

external personnel with whom threat awareness information is shared by the organization

+ + + + + + +

Organizational processes for implementing the threat awareness program

+

organizational processes for implementing the cross-organization information-sharing capability

+

mechanisms supporting and/or implementing the threat awareness program

+

mechanisms supporting and/or implementing the cross-organization information-sharing capability

+ + + + Automated Means for Sharing Threat Intelligence + + + + + + + + +

Employ automated mechanisms to maximize the effectiveness of sharing threat intelligence information.

+ + +

To maximize the effectiveness of monitoring, it is important to know what threat observables and indicators the sensors need to be searching for. By using well-established frameworks, services, and automated tools, organizations improve their ability to rapidly share and feed the relevant threat detection signatures into monitoring tools.

+ + + +

automated mechanisms are employed to maximize the effectiveness of sharing threat intelligence information.

+ + + + + + +

Information security program plan

+

privacy program plan

+

threat awareness program policy

+

threat awareness program procedures

+

risk assessment results related to threat awareness

+

documentation about the cross-organization information-sharing capability

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy program planning and plan implementation responsibilities

+

organizational personnel responsible for the threat awareness program

+

organizational personnel responsible for the cross-organization information-sharing capability

+

organizational personnel with information security and privacy responsibilities

+

external personnel with whom threat awareness information is shared by the organization

+ + + + + + +

Organizational processes for implementing the threat awareness program

+

organizational processes for implementing the cross-organization information-sharing capability

+

automated mechanisms supporting and/or implementing the threat awareness program

+

automated mechanisms supporting and/or implementing the cross-organization information-sharing capability

+ + + + + + Protecting Controlled Unclassified Information on External Systems + + + + + + + + + +

the frequency at which to review and update the policy is defined;

+ + + + + + +

the frequency at which to review and update the procedures is defined;

+ + + + + + + + + + + + + + + + + +

Establish policy and procedures to ensure that requirements for the protection of controlled unclassified information that is processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards; and

+ + + +

Review and update the policy and procedures .

+ + + +

Controlled unclassified information is defined by the National Archives and Records Administration along with the safeguarding and dissemination requirements for such information and is codified in 32 CFR 2002 and, specifically for systems external to the federal organization, 32 CFR 2002.14h . The policy prescribes the specific use and conditions to be implemented in accordance with organizational procedures, including via its contracting processes.

+ + + + + + + +

policy is established to ensure that requirements for the protection of controlled unclassified information that is processed, stored, or transmitted on external systems are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards;

+ + + + +

procedures are established to ensure that requirements for the protection of controlled unclassified information that is processed, stored, or transmitted on external systems are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards;

+ + + + + + + + +

policy is reviewed and updated ;

+ + + + +

procedures are reviewed and updated

+ + + + + + + + + + +

Controlled unclassified information policy

+

controlled unclassified information procedures

+

other relevant documents or records.

+ + + + + + +

Organizational personnel with controlled unclassified information responsibilities

+

organizational personnel with information security responsibilities.

+ + + + + Privacy Program Plan + + + + + +

the frequency of updates to the privacy program plan is defined;

+ + + + + + + + + + + + + + + +

Develop and disseminate an organization-wide privacy program plan that provides an overview of the agency’s privacy program, and:

+ + +

Includes a description of the structure of the privacy program and the resources dedicated to the privacy program;

+ + + +

Provides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements;

+ + + +

Includes the role of the senior agency official for privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities;

+ + + +

Describes management commitment, compliance, and the strategic goals and objectives of the privacy program;

+ + + +

Reflects coordination among organizational entities responsible for the different aspects of privacy; and

+ + + +

Is approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and

+ + + + +

Update the plan and to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control assessments.

+ + + +

A privacy program plan is a formal document that provides an overview of an organization’s privacy program, including a description of the structure of the privacy program, the resources dedicated to the privacy program, the role of the senior agency official for privacy and other privacy officials and staff, the strategic goals and objectives of the privacy program, and the program management controls and common controls in place or planned for meeting applicable privacy requirements and managing privacy risks. Privacy program plans can be represented in single documents or compilations of documents.

+

The senior agency official for privacy is responsible for designating which privacy controls the organization will treat as program management, common, system-specific, and hybrid controls. Privacy program plans provide sufficient information about the privacy program management and common controls (including the specification of parameters and assignment and selection operations explicitly or by reference) to enable control implementations that are unambiguously compliant with the intent of the plans and a determination of the risk incurred if the plans are implemented as intended.

+

Program management controls are generally implemented at the organization level and are essential for managing the organization’s privacy program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular information system. Together, the privacy plans for individual systems and the organization-wide privacy program plan provide complete coverage for the privacy controls employed within the organization.

+

Common controls are documented in an appendix to the organization’s privacy program plan unless the controls are included in a separate privacy plan for a system. The organization-wide privacy program plan indicates which separate privacy plans contain descriptions of privacy controls.

+ + + + + + + +

an organization-wide privacy program plan that provides an overview of the agency’s privacy program is developed;

+ + + + + + +

the privacy program plan includes a description of the structure of the privacy program;

+ + + + +

the privacy program plan includes a description of the resources dedicated to the privacy program;

+ + + + + + + + +

the privacy program plan provides an overview of the requirements for the privacy program;

+ + + + +

the privacy program plan provides a description of the privacy program management controls in place or planned for meeting the requirements of the privacy program;

+ + + + +

the privacy program plan provides a description of common controls in place or planned for meeting the requirements of the privacy program;

+ + + + + + + + +

the privacy program plan includes the role of the senior agency official for privacy;

+ + + + +

the privacy program plan includes the identification and assignment of the roles of other privacy officials and staff and their responsibilities;

+ + + + + + + + +

the privacy program plan describes management commitment;

+ + + + +

the privacy program plan describes compliance;

+ + + + +

the privacy program plan describes the strategic goals and objectives of the privacy program;

+ + + + + + +

the privacy program plan reflects coordination among organizational entities responsible for the different aspects of privacy;

+ + + + +

the privacy program plan is approved by a senior official with responsibility and accountability for the privacy risk being incurred by organizational operations (including, mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;

+ + + + +

the privacy program plan is disseminated;

+ + + + + + + + +

the privacy program plan is updated ;

+ + + + +

the privacy program plan is updated to address changes in federal privacy laws and policies;

+ + + + +

the privacy program plan is updated to address organizational changes;

+ + + + +

the privacy program plan is updated to address problems identified during plan implementation or privacy control assessments.

+ + + + + + + + + + +

Privacy program plan

+

procedures addressing program plan development and implementation

+

procedures addressing program plan reviews, updates, and approvals

+

procedures addressing coordination of the program plan with relevant entities

+

records of program plan reviews, updates, and approvals

+

other relevant documents or records

+ + + + + + +

Organizational personnel with privacy program planning and plan implementation responsibilities

+

organizational personnel with privacy responsibilities

+ + + + + Privacy Program Leadership Role + + + + + + + + + + + + +

Appoint a senior agency official for privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program.

+ + +

The privacy officer is an organizational official. For federal agencies—as defined by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines—this official is designated as the senior agency official for privacy. Organizations may also refer to this official as the chief privacy officer. The senior agency official for privacy also has roles on the data management board (see PM-23 ) and the data integrity board (see PM-24).

+ + + + + +

a senior agency official for privacy with authority, mission, accountability, and resources is appointed;

+ + + + +

the senior agency official for privacy coordinates applicable privacy requirements;

+ + + + +

the senior agency official for privacy develops applicable privacy requirements;

+ + + + +

the senior agency official for privacy implements applicable privacy requirements;

+ + + + +

the senior agency official for privacy manages privacy risks through the organization-wide privacy program.

+ + + + + + + + +

Privacy program documents, including policies, procedures, plans, and reports

+

public privacy notices, including Federal Register notices

+

privacy impact assessments

+

privacy risk assessments

+

Privacy Act statements

+

system of records notices

+

computer matching agreements and notices

+

contracts, information sharing agreements, and memoranda of understanding

+

governing requirements, including laws, executive orders, regulations, standards, and guidance

+

other relevant documents or records

+ + + + + + +

Organizational personnel with privacy program planning and plan implementation responsibilities

+

organizational personnel with privacy responsibilities

+

senior agency official for privacy

+

privacy officials

+ + + + + Dissemination of Privacy Program Information + + + + + + + + + + + + + + + +

Maintain a central resource webpage on the organization’s principal public website that serves as a central source of information about the organization’s privacy program and that:

+ + +

Ensures that the public has access to information about organizational privacy activities and can communicate with its senior agency official for privacy;

+ + + +

Ensures that organizational privacy practices and reports are publicly available; and

+ + + +

Employs publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices.

+ + + +

For federal agencies, the webpage is located at www.[agency].gov/privacy. Federal agencies include public privacy impact assessments, system of records notices, computer matching notices and agreements, PRIVACT exemption and implementation rules, privacy reports, privacy policies, instructions for individuals making an access or amendment request, email addresses for questions/complaints, blogs, and periodic publications.

+ + + + + +

a central resource webpage is maintained on the organization’s principal public website;

+ + + + +

the webpage serves as a central source of information about the organization’s privacy program;

+ + + + + + +

the webpage ensures that the public has access to information about organizational privacy activities;

+ + + + +

the webpage ensures that the public can communicate with its senior agency official for privacy;

+ + + + + + + + +

the webpage ensures that organizational privacy practices are publicly available;

+ + + + +

the webpage ensures that organizational privacy reports are publicly available;

+ + + + + + +

the webpage employs publicly facing email addresses and/or phone numbers to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices.

+ + + + + + + + +

Public website

+

publicly posted privacy program documents, including policies, procedures, plans, and reports

+

position description of the senior agency official for privacy

+

public privacy notices, including Federal Register notices

+

privacy impact assessments

+

privacy risk assessments

+

Privacy Act statements and system of records notices

+

computer matching agreements and notices

+

other relevant documents or records

+ + + + + + +

Organizational personnel with privacy program information dissemination responsibilities

+

organizational personnel with privacy responsibilities

+ + + + + + +

Location, access, availability, and functionality of privacy resource webpage

+ + + + Privacy Policies on Websites, Applications, and Digital Services + + + + + + + + +

Develop and post privacy policies on all external-facing websites, mobile applications, and other digital services, that:

+ + +

Are written in plain language and organized in a way that is easy to understand and navigate;

+ + + +

Provide information needed by the public to make an informed decision about whether and how to interact with the organization; and

+ + + +

Are updated whenever the organization makes a substantive change to the practices it describes and includes a time/date stamp to inform the public of the date of the most recent changes.

+ + + +

Organizations post privacy policies on all external-facing websites, mobile applications, and other digital services. Organizations post a link to the relevant privacy policy on any known, major entry points to the website, application, or digital service. In addition, organizations provide a link to the privacy policy on any webpage that collects personally identifiable information. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that require the provision of specific information to the public. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.

+ + + + + +

privacy policies are developed and posted on all external-facing websites;

+ + + + +

privacy policies are developed and posted on all mobile applications;

+ + + + +

privacy policies are developed and posted on all other digital services;

+ + + + + + +

the privacy policies are written in plain language;

+ + + + +

the privacy policies are organized in a way that is easy to understand and navigate;

+ + + + + + + + +

the privacy policies provide the information needed by the public to make an informed decision about whether to interact with the organization;

+ + + + +

the privacy policies provide the information needed by the public to make an informed decision about how to interact with the organization;

+ + + + + + + + +

the privacy policies are updated whenever the organization makes a substantive change to the practices it describes;

+ + + + +

the privacy policies include a time/date stamp to inform the public of the date of the most recent changes.

+ + + + + + + + + + +

Privacy program plan

+

privacy policies on the agency website, mobile applications, and/or other digital services

+ + + + + + +

Organizational personnel with privacy program information dissemination responsibilities

+

organizational personnel with privacy responsibilities

+ + + + + + +

Organizational procedures and practices for authorizing, conducting, managing, and reviewing personally identifiable information processing

+

organizational procedures and practices for disseminating privacy program information

+

mechanisms supporting the dissemination of privacy program information

+ + + + + + Accounting of Disclosures + + + + + + + + + + + + + +

Develop and maintain an accurate accounting of disclosures of personally identifiable information, including:

+ + +

Date, nature, and purpose of each disclosure; and

+ + + +

Name and address, or other contact information of the individual or organization to which the disclosure was made;

+ + + + +

Retain the accounting of disclosures for the length of the time the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer; and

+ + + +

Make the accounting of disclosures available to the individual to whom the personally identifiable information relates upon request.

+ + + +

The purpose of accounting of disclosures is to allow individuals to learn to whom their personally identifiable information has been disclosed, to provide a basis for subsequently advising recipients of any corrected or disputed personally identifiable information, and to provide an audit trail for subsequent reviews of organizational compliance with conditions for disclosures. For federal agencies, keeping an accounting of disclosures is required by the PRIVACT ; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision.

+

Organizations can use any system for keeping notations of disclosures, if it can construct from such a system, a document listing of all disclosures along with the required information. Automated mechanisms can be used by organizations to determine when personally identifiable information is disclosed, including commercial services that provide notifications and alerts. Accounting of disclosures may also be used to help organizations verify compliance with applicable privacy statutes and policies governing the disclosure or dissemination of information and dissemination restrictions.

+ + + + + +

an accurate accounting of disclosures of personally identifiable information is developed and maintained;

+ + + + +

the accounting includes the date of each disclosure;

+ + + + +

the accounting includes the nature of each disclosure;

+ + + + +

the accounting includes the purpose of each disclosure;

+ + + + + + + + +

the accounting includes the name of the individual or organization to whom the disclosure was made;

+ + + + +

the accounting includes the address or other contact information of the individual or organization to whom the disclosure was made;

+ + + + + + + + +

the accounting of disclosures is retained for the length of time that the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer;

+ + + + +

the accounting of disclosures is made available to the individual to whom the personally identifiable information relates upon request.

+ + + + + + + + +

Privacy program plan

+

disclosure policies and procedures

+

records of disclosures

+

audit logs

+

Privacy Act policies and procedures

+

system of records notice

+

Privacy Act exemption rules.

+ + + + + + +

Organizational personnel with privacy program responsibilities

+

organizational personnel with privacy responsibilities.

+ + + + + + +

Organizational processes for disclosures

+

mechanisms supporting the accounting of disclosures, including commercial services that provide notifications and alerts.

+ + + + + Personally Identifiable Information Quality Management + + + + + + + + + + + + +

Develop and document organization-wide policies and procedures for:

+ + +

Reviewing for the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle;

+ + + +

Correcting or deleting inaccurate or outdated personally identifiable information;

+ + + +

Disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities; and

+ + + +

Appeals of adverse decisions on correction or deletion requests.

+ + + +

Personally identifiable information quality management includes steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition of personally identifiable information. Organizational policies and procedures for personally identifiable information quality management are important because inaccurate or outdated personally identifiable information maintained by organizations may cause problems for individuals. Organizations consider the quality of personally identifiable information involved in business functions where inaccurate information may result in adverse decisions or the denial of benefits and services, or the disclosure of the information may cause stigmatization. Correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of organizations maintaining the information. Organizations consider creating policies and procedures for the removal of such information.

+

The senior agency official for privacy ensures that practical means and mechanisms exist and are accessible for individuals or their authorized representatives to seek the correction or deletion of personally identifiable information. Processes for correcting or deleting data are clearly defined and publicly available. Organizations use discretion in determining whether data is to be deleted or corrected based on the scope of requests, the changes sought, and the impact of the changes. Additionally, processes include the provision of responses to individuals of decisions to deny requests for correction or deletion. The responses include the reasons for the decisions, a means to record individual objections to the decisions, and a means of requesting reviews of the initial determinations.

+

Organizations notify individuals or their designated representatives when their personally identifiable information is corrected or deleted to provide transparency and confirm the completed action. Due to the complexity of data flows and storage, other entities may need to be informed of the correction or deletion. Notice supports the consistent correction and deletion of personally identifiable information across the data ecosystem.

+ + + + + +

organization-wide policies for personally identifiable information quality management are developed and documented;

+ + + + +

organization-wide procedures for personally identifiable information quality management are developed and documented;

+ + + + + + +

the policies address reviewing the accuracy of personally identifiable information across the information life cycle;

+ + + + +

the policies address reviewing the relevance of personally identifiable information across the information life cycle;

+ + + + +

the policies address reviewing the timeliness of personally identifiable information across the information life cycle;

+ + + + +

the policies address reviewing the completeness of personally identifiable information across the information life cycle;

+ + + + +

the procedures address reviewing the accuracy of personally identifiable information across the information life cycle;

+ + + + +

the procedures address reviewing the relevance of personally identifiable information across the information life cycle;

+ + + + +

the procedures address reviewing the timeliness of personally identifiable information across the information life cycle;

+ + + + +

the procedures address reviewing the completeness of personally identifiable information across the information life cycle;

+ + + + + + + + +

the policies address correcting or deleting inaccurate or outdated personally identifiable information;

+ + + + +

the procedures address correcting or deleting inaccurate or outdated personally identifiable information;

+ + + + + + + + +

the policies address disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities;

+ + + + +

the procedures address disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities;

+ + + + + + + + +

the policies address appeals of adverse decisions on correction or deletion requests;

+ + + + +

the procedures address appeals of adverse decisions on correction or deletion requests.

+ + + + + + + + + + +

Privacy program plan

+

policies and procedures addressing personally identifiable information quality management, information life cycle documentation, and sample notices of correction or deletion

+

records of monitoring PII quality management practices

+

documentation of reviews and updates of policies and procedures

+ + + + + + +

Organizational personnel with privacy program information dissemination responsibilities

+

organizational personnel with privacy responsibilities

+ + + + + + +

[Organizational processes for data quality and personally identifiable information quality management procedures

+

mechanisms supporting and/or implementing quality management requirements

+ + + + + Data Governance Body + + + + + +

the roles of a Data Governance Body are defined;

+ + + + + + + +

the responsibilities of a Data Governance Body are defined;

+ + + + + + + + + + + + + + + + + + + + + +

Establish a Data Governance Body consisting of with .

+ + +

A Data Governance Body can help ensure that the organization has coherent policies and the ability to balance the utility of data with security and privacy requirements. The Data Governance Body establishes policies, procedures, and standards that facilitate data governance so that data, including personally identifiable information, is effectively managed and maintained in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidance. Responsibilities can include developing and implementing guidelines that support data modeling, quality, integrity, and the de-identification needs of personally identifiable information across the information life cycle as well as reviewing and approving applications to release data outside of the organization, archiving the applications and the released data, and performing post-release monitoring to ensure that the assumptions made as part of the data release continue to be valid. Members include the chief information officer, senior agency information security officer, and senior agency official for privacy. Federal agencies are required to establish a Data Governance Body with specific roles and responsibilities in accordance with the EVIDACT and policies set forth under OMB M-19-23.

+ + + +

a Data Governance Body consisting of with is established.

+ + + + + + +

Privacy program plan

+

documentation relating to the Data Governance Body, including documents establishing such a body, its charter of operations, and any plans and reports

+

records of board meetings and decisions

+

records of requests to review data

+

policies, procedures, and standards that facilitate data governance

+ + + + + + +

Officials serving on the Data Governance Body (e.g., chief information officer, senior agency information security officer, and senior agency official for privacy)

+ + + + + Data Integrity Board + + + + + + + + + + + + + + + +

Establish a Data Integrity Board to:

+ + +

Review proposals to conduct or participate in a matching program; and

+ + + +

Conduct an annual review of all matching programs in which the agency has participated.

+ + + +

A Data Integrity Board is the board of senior officials designated by the head of a federal agency and is responsible for, among other things, reviewing the agency’s proposals to conduct or participate in a matching program and conducting an annual review of all matching programs in which the agency has participated. As a general matter, a matching program is a computerized comparison of records from two or more automated PRIVACT systems of records or an automated system of records and automated records maintained by a non-federal agency (or agent thereof). A matching program either pertains to Federal benefit programs or Federal personnel or payroll records. At a minimum, the Data Integrity Board includes the Inspector General of the agency, if any, and the senior agency official for privacy.

+ + + +

a Data Integrity Board is established;

+ + +

the Data Integrity Board reviews proposals to conduct or participate in a matching program;

+ + + + +

the Data Integrity Board conducts an annual review of all matching programs in which the agency has participated.

+ + + + + + + + +

Privacy program plan

+

privacy program documents relating to the Data Integrity Board, including documents establishing the board, its charter of operations, and any plans and reports

+

computer matching agreements and notices

+

information sharing agreements

+

memoranda of understanding

+

records documenting annual reviews

+

governing requirements, including laws, executive orders, regulations, standards, and guidance

+ + + + + + +

members of the Data Integrity Board (e.g., the chief information officer, senior information security officer, senior agency official for privacy, and agency Inspector General)

+ + + + + Minimization of Personally Identifiable Information Used in Testing, Training, and Research + + + + + + + + + + + +

the frequency for reviewing policies that address the use of personally identifiable information for internal testing, training, and research is defined;

+ + + + + + +

the frequency for updating policies that address the use of personally identifiable information for internal testing, training, and research is defined;

+ + + + + + +

the frequency for reviewing procedures that address the use of personally identifiable information for internal testing, training, and research is defined;

+ + + + + + +

the frequency for updating procedures that address the use of personally identifiable information for internal testing, training, and research is defined;

+ + + + + + + + + + + + + + + + +

Develop, document, and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research;

+ + + +

Limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes;

+ + + +

Authorize the use of personally identifiable information when such information is required for internal testing, training, and research; and

+ + + +

Review and update policies and procedures .

+ + + +

The use of personally identifiable information in testing, research, and training increases the risk of unauthorized disclosure or misuse of such information. Organizations consult with the senior agency official for privacy and/or legal counsel to ensure that the use of personally identifiable information in testing, training, and research is compatible with the original purpose for which it was collected. When possible, organizations use placeholder data to avoid exposure of personally identifiable information when conducting testing, training, and research.

+ + + + + + + +

policies that address the use of personally identifiable information for internal testing are developed and documented;

+ + + + +

policies that address the use of personally identifiable information for internal training are developed and documented;

+ + + + +

policies that address the use of personally identifiable information for internal research are developed and documented;

+ + + + +

procedures that address the use of personally identifiable information for internal testing are developed and documented;

+ + + + +

procedures that address the use of personally identifiable information for internal training are developed and documented;

+ + + + +

procedures that address the use of personally identifiable information for internal research are developed and documented;

+ + + + +

policies that address the use of personally identifiable information for internal testing, are implemented;

+ + + + +

policies that address the use of personally identifiable information for training are implemented;

+ + + + +

policies that address the use of personally identifiable information for research are implemented;

+ + + + +

procedures that address the use of personally identifiable information for internal testing are implemented;

+ + + + +

procedures that address the use of personally identifiable information for training are implemented;

+ + + + +

procedures that address the use of personally identifiable information for research are implemented;

+ + + + + + + + +

the amount of personally identifiable information used for internal testing purposes is limited or minimized;

+ + + + +

the amount of personally identifiable information used for internal training purposes is limited or minimized;

+ + + + +

the amount of personally identifiable information used for internal research purposes is limited or minimized;

+ + + + + + + + +

the required use of personally identifiable information for internal testing is authorized;

+ + + + +

the required use of personally identifiable information for internal training is authorized;

+ + + + +

the required use of personally identifiable information for internal research is authorized;

+ + + + + + + + +

policies are reviewed ;

+ + + + +

policies are updated ;

+ + + + +

procedures are reviewed ;

+ + + + +

procedures are updated .

+ + + + + + + + + + +

Privacy program plan

+

policies and procedures for the minimization of personally identifiable information used in testing, training, and research

+

documentation supporting policy implementation (e.g., templates for testing, training, and research

+

privacy threshold analysis

+

privacy risk assessment)

+

data sets used for testing, training, and research

+ + + + + + +

Organizational personnel with privacy program responsibilities

+

organizational personnel with privacy responsibilities

+

system developers

+

personnel with IRB responsibilities

+ + + + + + +

Organizational processes for data quality and personally identifiable information management

+

mechanisms supporting data quality management and personally identifiable information management to minimize the use of personally identifiable information

+ + + + + Complaint Management + + + + + + + + + +

the time period in which complaints (including concerns or questions) from individuals are to be reviewed is defined;

+ + + + + + +

the time period in which complaints (including concerns or questions) from individuals are to be addressed is defined;

+ + + + + + + +

the time period for acknowledging the receipt of complaints is defined;

+ + + + + + + +

the time period for responding to complaints is defined;

+ + + + + + + + + + + + + +

Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational security and privacy practices that includes:

+ + +

Mechanisms that are easy to use and readily accessible by the public;

+ + + +

All information necessary for successfully filing complaints;

+ + + +

Tracking mechanisms to ensure all complaints received are reviewed and addressed within ;

+ + + +

Acknowledgement of receipt of complaints, concerns, or questions from individuals within ; and

+ + + +

Response to complaints, concerns, or questions from individuals within .

+ + + +

Complaints, concerns, and questions from individuals can serve as valuable sources of input to organizations and ultimately improve operational models, uses of technology, data collection practices, and controls. Mechanisms that can be used by the public include telephone hotline, email, or web-based forms. The information necessary for successfully filing complaints includes contact information for the senior agency official for privacy or other official designated to receive complaints. Privacy complaints may also include personally identifiable information which is handled in accordance with relevant policies and processes.

+ + + + + +

a process for receiving complaints, concerns, or questions from individuals about organizational security and privacy practices is implemented;

+ + + + +

a process for responding to complaints, concerns, or questions from individuals about organizational security and privacy practices is implemented;

+ + + + + + +

the complaint management process includes mechanisms that are easy to use by the public;

+ + + + +

the complaint management process includes mechanisms that are readily accessible by the public;

+ + + + + + +

the complaint management process includes all information necessary for successfully filing complaints;

+ + + + + + +

the complaint management process includes tracking mechanisms to ensure that all complaints are reviewed within ;

+ + + + +

the complaint management process includes tracking mechanisms to ensure that all complaints are addressed within ;

+ + + + + + +

the complaint management process includes acknowledging the receipt of complaints, concerns, or questions from individuals within ;

+ + + + +

the complaint management process includes responding to complaints, concerns, or questions from individuals within .

+ + + + + + + + +

Privacy program plan

+

procedures addressing complaint management

+

complaint documentation

+

procedures addressing the reviews of complaints

+

other relevant documents or records

+ + + + + + +

Organizational personnel with privacy program responsibilities

+

organizational personnel with privacy responsibilities

+ + + + + + +

Organizational processes for complaint management

+

mechanisms supporting complaint management

+

tools used by the public to submit complaints, concerns, and questions (e.g., telephone, hotline, email, or web-based forms

+ + + + + Privacy Reporting + + + + + +

privacy reports are defined;

+ + + + + + + +

privacy oversight bodies are defined;

+ + + + + + + +

officials responsible for monitoring privacy program compliance are defined;

+ + + + + + + +

the frequency for reviewing and updating privacy reports is defined;

+ + + + + + + + + + + + + + + +

Develop and disseminate to:

+ + +

to demonstrate accountability with statutory, regulatory, and policy privacy mandates; and

+ + + +

and other personnel with responsibility for monitoring privacy program compliance; and

+ + + + +

Review and update privacy reports .

+ + + +

Through internal and external reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting can also help organizations to determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the federal government, discover vulnerabilities, identify gaps in policy and implementation, and identify models for success. For federal agencies, privacy reports include annual senior agency official for privacy reports to OMB, reports to Congress required by Implementing Regulations of the 9/11 Commission Act, and other public reports required by law, regulation, or policy, including internal policies of organizations. The senior agency official for privacy consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements.

+ + + + + +

are developed;

+ + +

the privacy reports are disseminated to to demonstrate accountability with statutory, regulatory, and policy privacy mandates;

+ + + + + + +

the privacy reports are disseminated to ;

+ + + + +

the privacy reports are disseminated to other personnel responsible for monitoring privacy program compliance;

+ + + + + + + + +

the privacy reports are reviewed and updated .

+ + + + + + + + +

Privacy program plan

+

internal and external privacy reports

+

privacy program plan

+

annual senior agency official for privacy reports to OMB

+

reports to Congress required by law, regulation, or policy, including internal policies

+

records documenting the dissemination of reports to oversight bodies and officials responsible for monitoring privacy program compliance

+

records of review and updates of privacy reports.

+ + + + + + +

Organizational personnel with privacy program responsibilities

+

organizational personnel with privacy responsibilities

+

legal counsel.

+ + + + + Risk Framing + + + + + +

the personnel to receive the results of risk framing activities is/are defined;

+ + + + + + + +

the frequency for reviewing and updating risk framing considerations is defined;

+ + + + + + + + + + + + + + + + + +

Identify and document:

+ + +

Assumptions affecting risk assessments, risk responses, and risk monitoring;

+ + + +

Constraints affecting risk assessments, risk responses, and risk monitoring;

+ + + +

Priorities and trade-offs considered by the organization for managing risk; and

+ + + +

Organizational risk tolerance;

+ + + + +

Distribute the results of risk framing activities to ; and

+ + + +

Review and update risk framing considerations .

+ + + +

Risk framing is most effective when conducted at the organization level and in consultation with stakeholders throughout the organization including mission, business, and system owners. The assumptions, constraints, risk tolerance, priorities, and trade-offs identified as part of the risk framing process inform the risk management strategy, which in turn informs the conduct of risk assessment, risk response, and risk monitoring activities. Risk framing results are shared with organizational personnel, including mission and business owners, information owners or stewards, system owners, authorizing officials, senior agency information security officer, senior agency official for privacy, and senior accountable official for risk management.

+ + + + + + + + + +

assumptions affecting risk assessments are identified and documented;

+ + + + +

assumptions affecting risk responses are identified and documented;

+ + + + +

assumptions affecting risk monitoring are identified and documented;

+ + + + + + + + +

constraints affecting risk assessments are identified and documented;

+ + + + +

constraints affecting risk responses are identified and documented;

+ + + + +

constraints affecting risk monitoring are identified and documented;

+ + + + + + + + +

priorities considered by the organization for managing risk are identified and documented;

+ + + + +

trade-offs considered by the organization for managing risk are identified and documented;

+ + + + + + +

organizational risk tolerance is identified and documented;

+ + + + + + +

the results of risk framing activities are distributed to ;

+ + + + +

risk framing considerations are reviewed and updated .

+ + + + + + + + +

Information security program plan

+

privacy program plan

+

supply chain risk management strategy

+

documentation of risk framing activities

+

policies and procedures for risk framing activities

+

risk management strategy

+ + + + + + +

Organizational personnel (including mission, business, and system owners or stewards

+

authorizing officials

+

senior agency information security officer

+

senior agency official for privacy

+

and senior accountable official for risk management)

+ + + + + + +

Organizational procedures and practices for authorizing, conducting, managing, and reviewing personally identifiable information processing

+

organizational processes for risk framing

+

mechanisms supporting the development, review, update, and approval of risk framing

+ + + + + Risk Management Program Leadership Roles + + + + + + + + + + + + +

Appoint a Senior Accountable Official for Risk Management to align organizational information security and privacy management processes with strategic, operational, and budgetary planning processes; and

+ + + +

Establish a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the organization.

+ + + +

The senior accountable official for risk management leads the risk executive (function) in organization-wide risk management activities.

+ + + + + + + +

a Senior Accountable Official for Risk Management is appointed;

+ + + + +

a Senior Accountable Official for Risk Management aligns information security and privacy management processes with strategic, operational, and budgetary planning processes;

+ + + + + + + + +

a Risk Executive (function) is established;

+ + + + +

a Risk Executive (function) views and analyzes risk from an organization-wide perspective;

+ + + + +

a Risk Executive (function) ensures that the management of risk is consistent across the organization.

+ + + + + + + + + + +

Information security program plan

+

privacy program plan

+

risk management strategy

+

supply chain risk management strategy

+

documentation of appointment, roles, and responsibilities of a Senior Accountable Official for Risk Management

+

documentation of actions taken by the Official

+

documentation of the establishment, policies, and procedures of a Risk Executive (function)

+ + + + + + +

Senior Accountable Official for Risk Management

+

chief information officer

+

senior agency information security officer

+

senior agency official for privacy

+

organizational personnel with information security and privacy program responsibilities

+ + + + + Supply Chain Risk Management Strategy + + + + + +

the frequency for reviewing and updating the supply chain risk management strategy is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Develop an organization-wide strategy for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;

+ + + +

Implement the supply chain risk management strategy consistently across the organization; and

+ + + +

Review and update the supply chain risk management strategy on or as required, to address organizational changes.

+ + + +

An organization-wide supply chain risk management strategy includes an unambiguous expression of the supply chain risk appetite and tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management strategy, and the associated roles and responsibilities. Supply chain risk management includes considerations of the security and privacy risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services. The supply chain risk management strategy can be incorporated into the organization’s overarching risk management strategy and can guide and inform supply chain policies and system-level supply chain risk management plans. In addition, the use of a risk executive function can facilitate a consistent, organization-wide application of the supply chain risk management strategy. The supply chain risk management strategy is implemented at the organization and mission/business levels, whereas the supply chain risk management plan (see SR-2 ) is implemented at the system level.

+ + + + + + + +

an organization-wide strategy for managing supply chain risks is developed;

+ + + + +

the supply chain risk management strategy addresses risks associated with the development of systems;

+ + + + +

the supply chain risk management strategy addresses risks associated with the development of system components;

+ + + + +

the supply chain risk management strategy addresses risks associated with the development of system services;

+ + + + +

the supply chain risk management strategy addresses risks associated with the acquisition of systems;

+ + + + +

the supply chain risk management strategy addresses risks associated with the acquisition of system components;

+ + + + +

the supply chain risk management strategy addresses risks associated with the acquisition of system services;

+ + + + +

the supply chain risk management strategy addresses risks associated with the maintenance of systems;

+ + + + +

the supply chain risk management strategy addresses risks associated with the maintenance of system components;

+ + + + +

the supply chain risk management strategy addresses risks associated with the maintenance of system services;

+ + + + +

the supply chain risk management strategy addresses risks associated with the disposal of systems;

+ + + + +

the supply chain risk management strategy addresses risks associated with the disposal of system components;

+ + + + +

the supply chain risk management strategy addresses risks associated with the disposal of system services;

+ + + + + + +

the supply chain risk management strategy is implemented consistently across the organization;

+ + + + +

the supply chain risk management strategy is reviewed and updated or as required to address organizational changes.

+ + + + + + + + +

Supply chain risk management strategy

+

organizational risk management strategy

+

enterprise risk management documents

+

other relevant documents or records

+ + + + + + +

Organizational personnel with supply chain risk management responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with acquisition responsibilities

+

organizational personnel with enterprise risk management responsibilities

+ + + + Suppliers of Critical or Mission-essential Items + + + + + + + + + + +

Identify, prioritize, and assess suppliers of critical or mission-essential technologies, products, and services.

+ + +

The identification and prioritization of suppliers of critical or mission-essential technologies, products, and services is paramount to the mission/business success of organizations. The assessment of suppliers is conducted using supplier reviews (see SR-6 ) and supply chain risk assessment processes (see RA-3(1) ). An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required.

+ + + + + +

suppliers of critical or mission-essential technologies, products, and services are identified;

+ + + + +

suppliers of critical or mission-essential technologies, products, and services are prioritized;

+ + + + +

suppliers of critical or mission-essential technologies, products, and services are assessed.

+ + + + + + + + +

Supply chain risk management strategy

+

organization-wide risk management strategy

+

enterprise risk management documents

+

inventory records or suppliers

+

assessment and prioritization documentation

+

critical or mission-essential technologies, products, and service documents or records

+

other relevant documents or records

+ + + + + + +

Organizational personnel with supply chain risk management responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with acquisition responsibilities

+

organizational personnel with enterprise risk management responsibilities

+ + + + + + +

Organizational processes for identifying, prioritizing, and assessing critical or mission-essential technologies, products, and services

+

organizational processes for maintaining an inventory of suppliers

+

organizational process for associating suppliers with critical or mission-essential technologies, products, and services

+ + + + + + Continuous Monitoring Strategy + + + + + + + + + + + + + + + +

the metrics for organization-wide continuous monitoring are defined;

+ + + + + + + + +

the frequencies for monitoring are defined;

+ + + + + + + + +

the frequencies for assessing control effectiveness are defined;

+ + + + + + +

the personnel or roles for reporting the security status of organizational systems to is/are defined;

+ + + + + + +

the personnel or roles for reporting the privacy status of organizational systems to is/are defined;

+ + + + + + +

the frequency at which to report the security status of organizational systems is defined;

+ + + + + + +

the frequency at which to report the privacy status of organizational systems is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Develop an organization-wide continuous monitoring strategy and implement continuous monitoring programs that include:

+ + +

Establishing the following organization-wide metrics to be monitored: ;

+ + + +

Establishing and for control effectiveness;

+ + + +

Ongoing monitoring of organizationally-defined metrics in accordance with the continuous monitoring strategy;

+ + + +

Correlation and analysis of information generated by control assessments and monitoring;

+ + + +

Response actions to address results of the analysis of control assessment and monitoring information; and

+ + + +

Reporting the security and privacy status of organizational systems to .

+ + + +

Continuous monitoring at the organization level facilitates ongoing awareness of the security and privacy posture across the organization to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring guide and inform risk response actions by organizations. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security- and privacy-related information on a continuing basis through reports and dashboards gives organizational officials the capability to make effective, timely, and informed risk management decisions, including ongoing authorization decisions. To further facilitate security and privacy risk management, organizations consider aligning organization-defined monitoring metrics with organizational risk tolerance as defined in the risk management strategy. Monitoring requirements, including the need for monitoring, may be referenced in other controls and control enhancements such as, AC-2g, AC-2(7), AC-2(12)(a), AC-2(7)(b), AC-2(7)(c), AC-17(1), AT-4a, AU-13, AU-13(1), AU-13(2), CA-7, CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, PE-14b, PE-16, PE-20, PM-6, PM-23, PS-7e, SA-9c, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18b, SC-43b, SI-4.

+ + + +

an organization-wide continuous monitoring strategy is developed;

+ + +

continuous monitoring programs are implemented that include establishing to be monitored;

+ + + + + + +

continuous monitoring programs are implemented that establish for monitoring;

+ + + + +

continuous monitoring programs are implemented that establish for assessment of control effectiveness;

+ + + + + + +

continuous monitoring programs are implemented that include monitoring on an ongoing basis in accordance with the continuous monitoring strategy;

+ + + + + + +

continuous monitoring programs are implemented that include correlating information generated by control assessments and monitoring;

+ + + + +

continuous monitoring programs are implemented that include analyzing information generated by control assessments and monitoring;

+ + + + + + + + +

continuous monitoring programs are implemented that include response actions to address the analysis of control assessment information;

+ + + + +

continuous monitoring programs are implemented that include response actions to address the analysis of monitoring information;

+ + + + + + + + +

continuous monitoring programs are implemented that include reporting the security status of organizational systems to ;

+ + + + +

continuous monitoring programs are implemented that include reporting the privacy status of organizational systems to .

+ + + + + + + + + + +

Information security program plan

+

privacy program plan

+

supply chain risk management plan

+

continuous monitoring strategy

+

risk management strategy

+

information security continuous monitoring program documentation, reporting, metrics, and artifacts

+

information security continuous monitoring program assessment documentation, reporting, metrics, and artifacts

+

assessment and authorization policy

+

procedures addressing the continuous monitoring of controls

+

privacy program continuous monitoring documentation, reporting, metrics, and artifacts

+

continuous monitoring program records, security, and privacy impact analyses

+

status reports

+

risk response documentation

+

other relevant documents or records.

+ + + + + + +

Senior Accountable Official for Risk Management

+

chief information officer

+

senior agency information security officer

+

senior agency official for privacy

+

organizational personnel with information security, privacy, and supply chain risk management program responsibilities

+ + + + + + +

Organizational procedures and mechanisms used for information security, privacy, and supply chain continuous monitoring

+ + + + + Purposing + + + + + + +

the systems or system components supporting mission-essential services or functions are defined;

+ + + + + + + + + + + + + + + +

Analyze supporting mission essential services or functions to ensure that the information resources are being used consistent with their intended purpose.

+ + +

Systems are designed to support a specific mission or business function. However, over time, systems and system components may be used to support services and functions that are outside of the scope of the intended mission or business functions. This can result in exposing information resources to unintended environments and uses that can significantly increase threat exposure. In doing so, the systems are more vulnerable to compromise, which can ultimately impact the services and functions for which they were intended. This is especially impactful for mission-essential services and functions. By analyzing resource use, organizations can identify such potential exposures.

+ + + +

supporting mission-essential services or functions are analyzed to ensure that the information resources are being used in a manner that is consistent with their intended purpose.

+ + + + + + +

Information security program plan

+

privacy program plan

+

list of essential services and functions

+

organizational analysis of information resources

+

risk management strategy

+

other relevant documents or records.

+ + + + + + +

Organizational personnel with information security, privacy, and supply chain risk management program responsibilities

+ + + + + + Personnel Security + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the personnel security policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the personnel security procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the personnel security policy and procedures is defined;

+ + + + + + + +

the frequency at which the current personnel security policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current personnel security policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current personnel security procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require the personnel security procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

personnel security policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the personnel security policy and procedures; and

+ + + +

Review and update the current personnel security:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Personnel security policy and procedures for the controls in the PS family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to personnel security policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a personnel security policy is developed and documented;

+ + + + +

the personnel security policy is disseminated to ;

+ + + + +

personnel security procedures to facilitate the implementation of the personnel security policy and associated personnel security controls are developed and documented;

+ + + + +

the personnel security procedures are disseminated to ;

+ + + + + + + + +

the personnel security policy addresses purpose;

+ + + + +

the personnel security policy addresses scope;

+ + + + +

the personnel security policy addresses roles;

+ + + + +

the personnel security policy addresses responsibilities;

+ + + + +

the personnel security policy addresses management commitment;

+ + + + +

the personnel security policy addresses coordination among organizational entities;

+ + + + +

the personnel security policy addresses compliance;

+ + + + + + +

the personnel security policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the personnel security policy and procedures;

+ + + + + + + + +

the current personnel security policy is reviewed and updated ;

+ + + + +

the current personnel security policy is reviewed and updated following ;

+ + + + + + + + +

the current personnel security procedures are reviewed and updated ;

+ + + + +

the current personnel security procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Personnel security policy

+

personnel security procedures

+

system security plan

+

privacy plan

+

risk management strategy documentation

+

audit findings

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with information security responsibilities

+ + + + + Position Risk Designation + + + + + +

the frequency at which to review and update position risk designations is defined;

+ + + + + + + + + + + + + + + + + + + + + + +

Assign a risk designation to all organizational positions;

+ + + +

Establish screening criteria for individuals filling those positions; and

+ + + +

Review and update position risk designations .

+ + + +

Position risk designations reflect Office of Personnel Management (OPM) policy and guidance. Proper position designation is the foundation of an effective and consistent suitability and personnel security program. The Position Designation System (PDS) assesses the duties and responsibilities of a position to determine the degree of potential damage to the efficiency or integrity of the service due to misconduct of an incumbent of a position and establishes the risk level of that position. The PDS assessment also determines if the duties and responsibilities of the position present the potential for position incumbents to bring about a material adverse effect on national security and the degree of that potential effect, which establishes the sensitivity level of a position. The results of the assessment determine what level of investigation is conducted for a position. Risk designations can guide and inform the types of authorizations that individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements. Parts 1400 and 731 of Title 5, Code of Federal Regulations, establish the requirements for organizations to evaluate relevant covered positions for a position sensitivity and position risk designation commensurate with the duties and responsibilities of those positions.

+ + + + + +

a risk designation is assigned to all organizational positions;

+ + + + +

screening criteria are established for individuals filling organizational positions;

+ + + + +

position risk designations are reviewed and updated .

+ + + + + + + + +

Personnel security policy

+

procedures addressing position categorization

+

appropriate codes of federal regulations

+

list of risk designations for organizational positions

+

records of position risk designation reviews and updates

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for assigning, reviewing, and updating position risk designations

+

organizational processes for establishing screening criteria

+ + + + + Personnel Screening + + + + + + + + + +

conditions requiring rescreening of individuals are defined;

+ + + + + + +

the frequency of rescreening individuals where it is so indicated is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Screen individuals prior to authorizing access to the system; and

+ + + +

Rescreen individuals in accordance with .

+ + + +

Personnel screening and rescreening activities reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Examples of personnel screening include background investigations and agency checks. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems.

+ + + + + +

individuals are screened prior to authorizing access to the system;

+ + + + + + +

individuals are rescreened in accordance with ;

+ + + + +

where rescreening is so indicated, individuals are rescreened .

+ + + + + + + + + + +

Personnel security policy

+

procedures addressing personnel screening

+

records of screened personnel

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for personnel screening

+ + + + Classified Information + + + + + + + + + +

Verify that individuals accessing a system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.

+ + +

Classified information is the most sensitive information that the Federal Government processes, stores, or transmits. It is imperative that individuals have the requisite security clearances and system access authorizations prior to gaining access to such information. Access authorizations are enforced by system access controls (see AC-3 ) and flow controls (see AC-4).

+ + + + + +

individuals accessing a system processing, storing, or transmitting classified information are cleared;

+ + + + +

individuals accessing a system processing, storing, or transmitting classified information are indoctrinated to the highest classification level of the information to which they have access on the system.

+ + + + + + + + +

Personnel security policy

+

procedures addressing personnel screening

+

records of screened personnel

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for clearing and indoctrinating personnel for access to classified information

+ + + + + Formal Indoctrination + + + + + + + + + +

Verify that individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination, are formally indoctrinated for all the relevant types of information to which they have access on the system.

+ + +

Types of classified information that require formal indoctrination include Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartmented Information (SCI).

+ + + +

individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination are formally indoctrinated for all of the relevant types of information to which they have access on the system.

+ + + + + + +

Personnel security policy

+

procedures addressing personnel screening

+

indoctrination documents

+

records of screened personnel

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for formal indoctrination for all relevant types of information to which personnel have access

+ + + + + Information Requiring Special Protective Measures + + + + + +

additional personnel screening criteria to be satisfied for individuals accessing a system processing, storing, or transmitting information requiring special protection are defined;

+ + + + + + + + + +

Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:

+ + +

Have valid access authorizations that are demonstrated by assigned official government duties; and

+ + + +

Satisfy .

+ + + +

Organizational information that requires special protection includes controlled unclassified information. Personnel security criteria include position sensitivity background screening requirements.

+ + + + + +

individuals accessing a system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;

+ + + + +

individuals accessing a system processing, storing, or transmitting information requiring special protection satisfy .

+ + + + + + + + +

Personnel security policy

+

access control policy, procedures addressing personnel screening

+

records of screened personnel

+

screening criteria

+

records of access authorizations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for ensuring valid access authorizations for information requiring special protection

+

organizational process for additional personnel screening for information requiring special protection

+ + + + + Citizenship Requirements + + + + + +

information types that are processed, stored, or transmitted by a system that require individuals accessing the system to meet are defined;

+ + + + + + + +

citizenship requirements to be met by individuals to access a system processing, storing, or transmitting information are defined;

+ + + + + + + + + +

Verify that individuals accessing a system processing, storing, or transmitting meet .

+ + +

None.

+ + + +

individuals accessing a system processing, storing, or transmitting meet .

+ + + + + + +

Personnel security policy

+

access control policy, procedures addressing personnel screening

+

records of screened personnel

+

screening criteria

+

records of access authorizations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for ensuring valid access authorizations for information requiring citizenship

+

organizational process for additional personnel screening for information requiring citizenship

+ + + + + + Personnel Termination + + + + + +

a time period within which to disable system access is defined;

+ + + + + + + +

information security topics to be discussed when conducting exit interviews are defined;

+ + + + + + + + + + + + + + +

Upon termination of individual employment:

+ + +

Disable system access within ;

+ + + +

Terminate or revoke any authenticators and credentials associated with the individual;

+ + + +

Conduct exit interviews that include a discussion of ;

+ + + +

Retrieve all security-related organizational system-related property; and

+ + + +

Retain access to organizational information and systems formerly controlled by terminated individual.

+ + + +

System property includes hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for system-related property. Security topics at exit interviews include reminding individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not always be possible for some individuals, including in cases related to the unavailability of supervisors, illnesses, or job abandonment. Exit interviews are important for individuals with security clearances. The timely execution of termination actions is essential for individuals who have been terminated for cause. In certain situations, organizations consider disabling the system accounts of individuals who are being terminated prior to the individuals being notified.

+ + + + + +

upon termination of individual employment, system access is disabled within ;

+ + + + +

upon termination of individual employment, any authenticators and credentials are terminated or revoked;

+ + + + +

upon termination of individual employment, exit interviews that include a discussion of are conducted;

+ + + + +

upon termination of individual employment, all security-related organizational system-related property is retrieved;

+ + + + +

upon termination of individual employment, access to organizational information and systems formerly controlled by the terminated individual are retained.

+ + + + + + + + +

Personnel security policy

+

procedures addressing personnel termination

+

records of personnel termination actions

+

list of system accounts

+

records of terminated or revoked authenticators/credentials

+

records of exit interviews

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for personnel termination

+

mechanisms supporting and/or implementing personnel termination notifications

+

mechanisms for disabling system access/revoking authenticators

+ + + + Post-employment Requirements + + + + + + + + + +

Notify terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and

+ + + +

Require terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.

+ + + +

Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

+ + + + + +

terminated individuals are notified of applicable, legally binding post-employment requirements for the protection of organizational information;

+ + + + +

terminated individuals are required to sign an acknowledgement of post-employment requirements as part of the organizational termination process.

+ + + + + + + + +

Personnel security policy

+

procedures addressing personnel termination

+

signed post-employment acknowledgement forms

+

list of applicable, legally binding post-employment requirements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for post-employment requirements

+ + + + + Automated Actions + + + + + +

automated mechanisms to notify personnel or roles of individual termination actions and/or to disable access to system resources are defined;

+ + + + + + + + + + + + +

personnel or roles to be notified upon termination of an individual is/are defined (if selected);

+ + + + + + + + + +

Use to .

+ + +

In organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications, or if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to organizational personnel or roles when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including via telephone, electronic mail, text message, or websites. Automated mechanisms can also be employed to quickly and thoroughly disable access to system resources after an employee is terminated.

+ + + +

are used to .

+ + + + + + +

Personnel security policy

+

procedures addressing personnel termination

+

system design documentation

+

system configuration settings and associated documentation

+

records of personnel termination actions

+

automated notifications of employee terminations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for personnel termination

+

automated mechanisms supporting and/or implementing personnel termination notifications

+ + + + + + Personnel Transfer + + + + + +

transfer or reassignment actions to be initiated following transfer or reassignment are defined;

+ + + + + + + +

the time period within which transfer or reassignment actions must occur following transfer or reassignment is defined;

+ + + + + + + +

personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization is/are defined;

+ + + + + + + +

time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization is defined;

+ + + + + + + + + + + + + + + + +

Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;

+ + + +

Initiate within ;

+ + + +

Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and

+ + + +

Notify within .

+ + + +

Personnel transfer applies when reassignments or transfers of individuals are permanent or of such extended duration as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts.

+ + + + + +

the ongoing operational need for current logical and physical access authorizations to systems and facilities are reviewed and confirmed when individuals are reassigned or transferred to other positions within the organization;

+ + + + +

are initiated within ;

+ + + + +

access authorization is modified as needed to correspond with any changes in operational need due to reassignment or transfer;

+ + + + +

are notified within .

+ + + + + + + + +

Personnel security policy

+

procedures addressing personnel transfer

+

records of personnel transfer actions

+

list of system and facility access authorizations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with account management responsibilities

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for personnel transfer

+

mechanisms supporting and/or implementing personnel transfer notifications

+

mechanisms for disabling system access/revoking authenticators

+ + + + + Access Agreements + + + + + +

the frequency at which to review and update access agreements is defined;

+ + + + + + + +

the frequency at which to re-sign access agreements to maintain access to organizational information is defined;

+ + + + + + + + + + + + + + + + + + + + + +

Develop and document access agreements for organizational systems;

+ + + +

Review and update the access agreements ; and

+ + + +

Verify that individuals requiring access to organizational information and systems:

+ + +

Sign appropriate access agreements prior to being granted access; and

+ + + +

Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or .

+ + + + +

Access agreements include nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.

+ + + + + +

access agreements are developed and documented for organizational systems;

+ + + + +

the access agreements are reviewed and updated ;

+ + + + + + +

individuals requiring access to organizational information and systems sign appropriate access agreements prior to being granted access;

+ + + + +

individuals requiring access to organizational information and systems re-sign access agreements to maintain access to organizational systems when access agreements have been updated or .

+ + + + + + + + + + +

Personnel security policy

+

personnel security procedures

+

procedures addressing access agreements for organizational information and systems

+

access control policy

+

access control procedures

+

access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements)

+

documentation of access agreement reviews, updates, and re-signing

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel who have signed/resigned access agreements

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for reviewing, updating, and re-signing access agreements

+

mechanisms supporting the reviewing, updating, and re-signing of access agreements

+ + + + Information Requiring Special Protection + + + + + + + + + Classified Information Requiring Special Protection + + + + + + + + +

Verify that access to classified information requiring special protection is granted only to individuals who:

+ + +

Have a valid access authorization that is demonstrated by assigned official government duties;

+ + + +

Satisfy associated personnel security criteria; and

+ + + +

Have read, understood, and signed a nondisclosure agreement.

+ + + +

Classified information that requires special protection includes collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

+ + + + + +

access to classified information requiring special protection is granted only to individuals who have a valid access authorization that is demonstrated by assigned official government duties;

+ + + + +

access to classified information requiring special protection is granted only to individuals who satisfy associated personnel security criteria;

+ + + + +

access to classified information requiring special protection is granted only to individuals who have read, understood, and signed a non-disclosure agreement.

+ + + + + + + + +

Personnel security policy

+

procedures addressing access agreements for organizational information and systems

+

access agreements

+

access authorizations

+

personnel security criteria

+

signed non-disclosure agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel who have signed non-disclosure agreements

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for access to classified information requiring special protection

+ + + + + Post-employment Requirements + + + + + + + + + + + +

Notify individuals of applicable, legally binding post-employment requirements for protection of organizational information; and

+ + + +

Require individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.

+ + + +

Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

+ + + + + +

individuals are notified of applicable, legally binding post-employment requirements for the protection of organizational information;

+ + + + +

individuals are required to sign an acknowledgement of applicable, legally binding post-employment requirements as part of being granted initial access to covered information.

+ + + + + + + + +

Personnel security policy

+

procedures addressing access agreements for organizational information and systems

+

signed post-employment acknowledgement forms

+

access agreements

+

list of applicable, legally binding post-employment requirements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel who have signed access agreements that include post-employment requirements

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for post-employment requirements

+

mechanisms supporting notifications and individual acknowledgements of post-employment requirements

+ + + + + + External Personnel Security + + + + + +

personnel or roles to be notified of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is/are defined;

+ + + + + + + +

time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + +

Establish personnel security requirements, including security roles and responsibilities for external providers;

+ + + +

Require external providers to comply with personnel security policies and procedures established by the organization;

+ + + +

Document personnel security requirements;

+ + + +

Require external providers to notify of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within ; and

+ + + +

Monitor provider compliance with personnel security requirements.

+ + + +

External provider refers to organizations other than the organization operating or acquiring the system. External providers include service bureaus, contractors, and other organizations that provide system development, information technology services, testing or assessment services, outsourced applications, and network/security management. Organizations explicitly include personnel security requirements in acquisition-related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external personnel changes ensure the appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include functions, roles, and the nature of credentials or privileges associated with transferred or terminated individuals.

+ + + + + +

personnel security requirements are established, including security roles and responsibilities for external providers;

+ + + + +

external providers are required to comply with personnel security policies and procedures established by the organization;

+ + + + +

personnel security requirements are documented;

+ + + + +

external providers are required to notify of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges within ;

+ + + + +

provider compliance with personnel security requirements is monitored.

+ + + + + + + + +

Personnel security policy

+

procedures addressing external personnel security

+

list of personnel security requirements

+

acquisition documents

+

service-level agreements

+

compliance monitoring process

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

external providers

+

system/network administrators

+

organizational personnel with account management responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for managing and monitoring external personnel security

+

mechanisms supporting and/or implementing the monitoring of provider compliance

+ + + + + Personnel Sanctions + + + + + +

personnel or roles to be notified when a formal employee sanctions process is initiated is/are defined;

+ + + + + + + +

the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated is defined;

+ + + + + + + + + + + + + + +

Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and

+ + + +

Notify within when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.

+ + + +

Organizational sanctions reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Sanctions processes are described in access agreements and can be included as part of general personnel policies for organizations and/or specified in security and privacy policies. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.

+ + + + + +

a formal sanctions process is employed for individuals failing to comply with established information security and privacy policies and procedures;

+ + + + +

is/are notified within when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.

+ + + + + + + + +

Personnel security policy

+

personnel security procedures

+

procedures addressing personnel sanctions

+

access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements)

+

list of personnel or roles to be notified of formal employee sanctions

+

records or notifications of formal employee sanctions

+

system security plan

+

privacy plan

+

personally identifiable information processing policy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

legal counsel

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for managing formal employee sanctions

+

mechanisms supporting and/or implementing formal employee sanctions notifications

+ + + + + Position Descriptions + + + + + + + +

Incorporate security and privacy roles and responsibilities into organizational position descriptions.

+ + +

Specification of security and privacy roles in individual organizational position descriptions facilitates clarity in understanding the security or privacy responsibilities associated with the roles and the role-based security and privacy training requirements for the roles.

+ + + + + +

security roles and responsibilities are incorporated into organizational position descriptions;

+ + + + +

privacy roles and responsibilities are incorporated into organizational position descriptions.

+ + + + + + + + +

Personnel security policy

+

personnel security procedures

+

procedures addressing position descriptions

+

security and privacy position descriptions

+

system security plan

+

privacy plan

+

privacy program plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personnel security responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with human capital management responsibilities

+ + + + + + +

Organizational processes for managing position descriptions

+ + + + + + Personally Identifiable Information Processing and Transparency + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the personally identifiable information processing and transparency policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the personally identifiable information processing and transparency procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the personally identifiable information processing and transparency policy and procedures is defined;

+ + + + + + + +

the frequency at which the current personally identifiable information processing and transparency policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current personally identifiable information processing and transparency policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current personally identifiable information processing and transparency procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require the personally identifiable information processing and transparency procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

personally identifiable information processing and transparency policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and the associated personally identifiable information processing and transparency controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures; and

+ + + +

Review and update the current personally identifiable information processing and transparency:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Personally identifiable information processing and transparency policy and procedures address the controls in the PT family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of personally identifiable information processing and transparency policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to personally identifiable information processing and transparency policy and procedures include assessment or audit findings, breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a personally identifiable information processing and transparency policy is developed and documented;

+ + + + +

the personally identifiable information processing and transparency policy is disseminated to ;

+ + + + +

personally identifiable information processing and transparency procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and associated personally identifiable information processing and transparency controls are developed and documented;

+ + + + +

the personally identifiable information processing and transparency procedures are disseminated to ;

+ + + + + + + + +

the personally identifiable information processing and transparency policy addresses purpose;

+ + + + +

the personally identifiable information processing and transparency policy addresses scope;

+ + + + +

the personally identifiable information processing and transparency policy addresses roles;

+ + + + +

the personally identifiable information processing and transparency policy addresses responsibilities;

+ + + + +

the personally identifiable information processing and transparency policy addresses management commitment;

+ + + + +

the personally identifiable information processing and transparency policy addresses coordination among organizational entities;

+ + + + +

the personally identifiable information processing and transparency policy addresses compliance;

+ + + + + + +

the personally identifiable information processing and transparency policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures;

+ + + + + + + + +

the current personally identifiable information processing and transparency policy is reviewed and updated ;

+ + + + +

the current personally identifiable information processing and transparency policy is reviewed and updated following ;

+ + + + + + + + +

the current personally identifiable information processing and transparency procedures are reviewed and updated ;

+ + + + +

the current personally identifiable information processing and transparency procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy plan

+

privacy program plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Authority to Process Personally Identifiable Information + + + + + +

the authority to permit the processing (defined in PT-02_ODP[02]) of personally identifiable information is defined;

+ + + + + + + +

the type of processing of personally identifiable information is defined;

+ + + + + + + +

the type of processing of personally identifiable information to be restricted is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Determine and document the that permits the of personally identifiable information; and

+ + + +

Restrict the of personally identifiable information to only that which is authorized.

+ + + +

The processing of personally identifiable information is an operation or set of operations that the information system or organization performs with respect to personally identifiable information across the information life cycle. Processing includes but is not limited to creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Processing operations also include logging, generation, and transformation, as well as analysis techniques, such as data mining.

+

Organizations may be subject to laws, executive orders, directives, regulations, or policies that establish the organization’s authority and thereby limit certain types of processing of personally identifiable information or establish other requirements related to the processing. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such authority, particularly if the organization is subject to multiple jurisdictions or sources of authority. For organizations whose processing is not determined according to legal authorities, the organization’s policies and determinations govern how they process personally identifiable information. While processing of personally identifiable information may be legally permissible, privacy risks may still arise. Privacy risk assessments can identify the privacy risks associated with the authorized processing of personally identifiable information and support solutions to manage such risks.

+

Organizations consider applicable requirements and organizational policies to determine how to document this authority. For federal agencies, the authority to process personally identifiable information is documented in privacy policies and notices, system of records notices, privacy impact assessments, PRIVACT statements, computer matching agreements and notices, contracts, information sharing agreements, memoranda of understanding, and other documentation.

+

Organizations take steps to ensure that personally identifiable information is only processed for authorized purposes, including training organizational personnel on the authorized processing of personally identifiable information and monitoring and auditing organizational use of personally identifiable information.

+ + + + + +

the that permits the of personally identifiable information is determined and documented;

+ + + + +

the of personally identifiable information is restricted to only that which is authorized.

+ + + + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for authorizing the processing of personally identifiable information

+

mechanisms supporting and/or implementing the restriction of personally identifiable information processing

+ + + + Data Tagging + + + + + +

the authorized processing of personally identifiable information is defined;

+ + + + + + + +

elements of personally identifiable information to be tagged are defined;

+ + + + + + + + + + + + + + + + + + + + + +

Attach data tags containing to .

+ + +

Data tags support the tracking and enforcement of authorized processing by conveying the types of processing that are authorized along with the relevant elements of personally identifiable information throughout the system. Data tags may also support the use of automated tools.

+ + + +

data tags containing are attached to .

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures including procedures addressing data tagging

+

data tag definitions

+

documented requirements for use and monitoring of data tagging

+

data extracts with corresponding data tags

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for authorizing the processing of personally identifiable information

+

organizational processes for data tagging

+

mechanisms for applying and monitoring data tagging

+

mechanisms supporting and/or implementing the restriction of personally identifiable information processing

+ + + + + Automation + + + + + +

automated mechanisms used to manage enforcement of the authorized processing of personally identifiable information are defined;

+ + + + + + + + + + + + + + + + + + + + +

Manage enforcement of the authorized processing of personally identifiable information using .

+ + +

Automated mechanisms augment verification that only authorized processing is occurring.

+ + + +

enforcement of the authorized processing of personally identifiable information is managed using .

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for authorizing the processing of personally identifiable information

+

automated mechanisms supporting and/or implementing the management of authorized personally identifiable information processing

+ + + + + + Personally Identifiable Information Processing Purposes + + + + + +

the purpose(s) for processing personally identifiable information is/are defined;

+ + + + + + + +

the processing of personally identifiable information to be restricted is defined;

+ + + + + + + +

mechanisms to be implemented for ensuring any changes in the processing of personally identifiable information are made in accordance with requirements are defined;

+ + + + + + + +

requirements for changing the processing of personally identifiable information are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Identify and document the for processing personally identifiable information;

+ + + +

Describe the purpose(s) in the public privacy notices and policies of the organization;

+ + + +

Restrict the of personally identifiable information to only that which is compatible with the identified purpose(s); and

+ + + +

Monitor changes in processing personally identifiable information and implement to ensure that any changes are made in accordance with .

+ + + +

Identifying and documenting the purpose for processing provides organizations with a basis for understanding why personally identifiable information may be processed. The term process includes every step of the information life cycle, including creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Identifying and documenting the purpose of processing is a prerequisite to enabling owners and operators of the system and individuals whose information is processed by the system to understand how the information will be processed. This enables individuals to make informed decisions about their engagement with information systems and organizations and to manage their privacy interests. Once the specific processing purpose has been identified, the purpose is described in the organization’s privacy notices, policies, and any related privacy compliance documentation, including privacy impact assessments, system of records notices, PRIVACT statements, computer matching notices, and other applicable Federal Register notices.

+

Organizations take steps to help ensure that personally identifiable information is processed only for identified purposes, including training organizational personnel and monitoring and auditing organizational processing of personally identifiable information.

+

Organizations monitor for changes in personally identifiable information processing. Organizational personnel consult with the senior agency official for privacy and legal counsel to ensure that any new purposes that arise from changes in processing are compatible with the purpose for which the information was collected, or if the new purpose is not compatible, implement mechanisms in accordance with defined requirements to allow for the new processing, if appropriate. Mechanisms may include obtaining consent from individuals, revising privacy policies, or other measures to manage privacy risks that arise from changes in personally identifiable information processing purposes.

+ + + + + +

the for processing personally identifiable information is/are identified and documented;

+ + + + + + +

the purpose(s) is/are described in the public privacy notices of the organization;

+ + + + +

the purpose(s) is/are described in the policies of the organization;

+ + + + + + +

the of personally identifiable information are restricted to only that which is compatible with the identified purpose(s);

+ + + + + + +

changes in the processing of personally identifiable information are monitored;

+ + + + +

are implemented to ensure that any changes are made in accordance with .

+ + + + + + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

configuration management plan

+

organizational privacy notices

+

organizational policies

+

Privacy Act statements

+

computer matching notices

+

applicable Federal Register notices

+

documented requirements for enforcing and monitoring the processing of personally identifiable information

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for authorizing the processing of personally identifiable information

+

mechanisms supporting and/or implementing the management of authorized personally identifiable information processing

+

organizational processes for monitoring changes in processing personally identifiable information

+ + + + Data Tagging + + + + + +

processing purposes to be contained in data tags are defined;

+ + + + + + + +

elements of personally identifiable information to be tagged are defined;

+ + + + + + + + + + + + + + + + + + + +

Attach data tags containing the following purposes to : .

+ + +

Data tags support the tracking of processing purposes by conveying the purposes along with the relevant elements of personally identifiable information throughout the system. By conveying the processing purposes in a data tag along with the personally identifiable information as the information transits a system, a system owner or operator can identify whether a change in processing would be compatible with the identified and documented purposes. Data tags may also support the use of automated tools.

+ + + +

data tags containing are attached to .

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

documented description of how data tags are used to identify personally identifiable information data elements and their authorized uses

+

data tag schema

+

data extracts with corresponding data tags

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with data tagging responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for authorizing the processing of personally identifiable information

+

mechanisms supporting and/or implementing data tagging

+ + + + + Automation + + + + + +

automated mechanisms for tracking the processing purposes of personally identifiable information are defined;

+ + + + + + + + + + + + + + + + + + + +

Track processing purposes of personally identifiable information using .

+ + +

Automated mechanisms augment tracking of the processing purposes.

+ + + +

the processing purposes of personally identifiable information are tracked using .

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

data extracts with corresponding data tags

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for managing the enforcement of authorized processing of personally identifiable information

+

automated tracking mechanisms

+ + + + + + Consent + + + + + +

the tools or mechanisms to be implemented for individuals to consent to the processing of their personally identifiable information are defined;

+ + + + + + + + + + + + + + +

Implement for individuals to consent to the processing of their personally identifiable information prior to its collection that facilitate individuals’ informed decision-making.

+ + +

Consent allows individuals to participate in making decisions about the processing of their information and transfers some of the risk that arises from the processing of personally identifiable information from the organization to an individual. Consent may be required by applicable laws, executive orders, directives, regulations, policies, standards, or guidelines. Otherwise, when selecting consent as a control, organizations consider whether individuals can be reasonably expected to understand and accept the privacy risks that arise from their authorization. Organizations consider whether other controls may more effectively mitigate privacy risk either alone or in conjunction with consent. Organizations also consider any demographic or contextual factors that may influence the understanding or behavior of individuals with respect to the processing carried out by the system or organization. When soliciting consent from individuals, organizations consider the appropriate mechanism for obtaining consent, including the type of consent (e.g., opt-in, opt-out), how to properly authenticate and identity proof individuals and how to obtain consent through electronic means. In addition, organizations consider providing a mechanism for individuals to revoke consent once it has been provided, as appropriate. Finally, organizations consider usability factors to help individuals understand the risks being accepted when providing consent, including the use of plain language and avoiding technical jargon.

+ + + +

the are implemented for individuals to consent to the processing of their personally identifiable information prior to its collection that facilitate individuals’ informed decision-making.

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

consent policies and procedures

+

consent tools and mechanisms

+

consent presentation or display (user interface)

+

evidence of individuals’ consent

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for the collection of personally identifiable information

+

consent tools or mechanisms for users to authorize the processing of their personally identifiable information

+

mechanisms implementing consent

+ + + + Tailored Consent + + + + + +

tailoring mechanisms for processing selected elements of personally identifiable information permissions are defined;

+ + + + + + + + + + +

Provide to allow individuals to tailor processing permissions to selected elements of personally identifiable information.

+ + +

While some processing may be necessary for the basic functionality of the product or service, other processing may not. In these circumstances, organizations allow individuals to select how specific personally identifiable information elements may be processed. More tailored consent may help reduce privacy risk, increase individual satisfaction, and avoid adverse behaviors, such as abandonment of the product or service.

+ + + +

are provided to allow individuals to tailor processing permissions to selected elements of personally identifiable information.

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

consent policies and procedures

+

consent tools and mechanisms

+

consent presentation or display (user interface)

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with user interface or user experience responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for consenting to the processing of personally identifiable information

+

consent tools or mechanisms

+

mechanisms implementing consent

+ + + + + Just-in-time Consent + + + + + +

consent mechanisms to be presented to individuals are defined;

+ + + + + + + +

the frequency at which to present consent mechanisms to individuals is defined;

+ + + + + + + +

personally identifiable information processing to be presented in conjunction with organization-defined consent mechanisms is defined;

+ + + + + + + + + + +

Present to individuals at and in conjunction with .

+ + +

Just-in-time consent enables individuals to participate in how their personally identifiable information is being processed at the time or in conjunction with specific types of data processing when such participation may be most useful to the individual. Individual assumptions about how personally identifiable information is being processed might not be accurate or reliable if time has passed since the individual last gave consent or the type of processing creates significant privacy risk. Organizations use discretion to determine when to use just-in-time consent and may use supporting information on demographics, focus groups, or surveys to learn more about individuals’ privacy interests and concerns.

+ + + +

are presented to individuals and in conjunction with .

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

consent policies and procedures

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with user interface or user experience responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for the collection of personally identifiable information

+

mechanisms for obtaining just-in-time consent from users for the processing of their personally identifiable information

+

mechanisms implementing just-in-time consent

+ + + + + Revocation + + + + + +

the tools or mechanisms to be implemented for revoking consent to the processing of personally identifiable information are defined;

+ + + + + + + + + + +

Implement for individuals to revoke consent to the processing of their personally identifiable information.

+ + +

Revocation of consent enables individuals to exercise control over their initial consent decision when circumstances change. Organizations consider usability factors in enabling easy-to-use revocation capabilities.

+ + + +

the are implemented for individuals to revoke consent to the processing of their personally identifiable information.

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

consent revocation policies and procedures

+

consent revocation user interface or user experience

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with user interface or user experience responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for consenting to the processing of personally identifiable information

+

tools or mechanisms for implementing consent revocation

+ + + + + + Privacy Notice + + + + + +

the frequency at which a notice is provided to individuals after initial interaction with an organization is defined;

+ + + + + + + +

information to be included with the notice about the processing of personally identifiable information is defined;

+ + + + + + + + + + + + + + + + + + + + +

Provide notice to individuals about the processing of personally identifiable information that:

+ + +

Is available to individuals upon first interacting with an organization, and subsequently at ;

+ + + +

Is clear and easy-to-understand, expressing information about personally identifiable information processing in plain language;

+ + + +

Identifies the authority that authorizes the processing of personally identifiable information;

+ + + +

Identifies the purposes for which personally identifiable information is to be processed; and

+ + + +

Includes .

+ + + +

Privacy notices help inform individuals about how their personally identifiable information is being processed by the system or organization. Organizations use privacy notices to inform individuals about how, under what authority, and for what purpose their personally identifiable information is processed, as well as other information such as choices individuals might have with respect to that processing and other parties with whom information is shared. Laws, executive orders, directives, regulations, or policies may require that privacy notices include specific elements or be provided in specific formats. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding when and where to provide privacy notices, as well as elements to include in privacy notices and required formats. In circumstances where laws or government-wide policies do not require privacy notices, organizational policies and determinations may require privacy notices and may serve as a source of the elements to include in privacy notices.

+

Privacy risk assessments identify the privacy risks associated with the processing of personally identifiable information and may help organizations determine appropriate elements to include in a privacy notice to manage such risks. To help individuals understand how their information is being processed, organizations write materials in plain language and avoid technical jargon.

+ + + + + + + +

a notice to individuals about the processing of personally identifiable information is provided such that the notice is available to individuals upon first interacting with an organization;

+ + + + +

a notice to individuals about the processing of personally identifiable information is provided such that the notice is subsequently available to individuals ;

+ + + + + + +

a notice to individuals about the processing of personally identifiable information is provided that is clear, easy-to-understand, and expresses information about personally identifiable information processing in plain language;

+ + + + +

a notice to individuals about the processing of personally identifiable information that identifies the authority that authorizes the processing of personally identifiable information is provided;

+ + + + +

a notice to individuals about the processing of personally identifiable information that identifies the purpose for which personally identifiable information is to be processed is provided;

+ + + + +

a notice to individuals about the processing of personally identifiable information which includes is provided.

+ + + + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy notice

+

Privacy Act statements

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with user interface or user experience responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes and implementation support or mechanisms for providing notice to individuals regarding the processing of their personally identifiable information

+ + + + Just-in-time Notice + + + + + +

the frequency at which to present a notice of personally identifiable information processing is defined;

+ + + + + + + + + + +

Present notice of personally identifiable information processing to individuals at a time and location where the individual provides personally identifiable information or in conjunction with a data action, or .

+ + +

Just-in-time notices inform individuals of how organizations process their personally identifiable information at a time when such notices may be most useful to the individuals. Individual assumptions about how personally identifiable information will be processed might not be accurate or reliable if time has passed since the organization last presented notice or the circumstances under which the individual was last provided notice have changed. A just-in-time notice can explain data actions that organizations have identified as potentially giving rise to greater privacy risk for individuals. Organizations can use a just-in-time notice to update or remind individuals about specific data actions as they occur or highlight specific changes that occurred since last presenting notice. A just-in-time notice can be used in conjunction with just-in-time consent to explain what will occur if consent is declined. Organizations use discretion to determine when to use a just-in-time notice and may use supporting information on user demographics, focus groups, or surveys to learn about users’ privacy interests and concerns.

+ + + +

a notice of personally identifiable information processing is presented to individuals at a time and location where the individual provides personally identifiable information, in conjunction with a data action, or .

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy notice

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with user interface or user experience responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes and implementation support or mechanisms for providing notice to individuals regarding the processing of their personally identifiable information

+ + + + + Privacy Act Statements + + + + + + + + +

Include Privacy Act statements on forms that collect information that will be maintained in a Privacy Act system of records, or provide Privacy Act statements on separate forms that can be retained by individuals.

+ + +

If a federal agency asks individuals to supply information that will become part of a system of records, the agency is required to provide a PRIVACT statement on the form used to collect the information or on a separate form that can be retained by the individual. The agency provides a PRIVACT statement in such circumstances regardless of whether the information will be collected on a paper or electronic form, on a website, on a mobile application, over the telephone, or through some other medium. This requirement ensures that the individual is provided with sufficient information about the request for information to make an informed decision on whether or not to respond.

+

PRIVACT statements provide formal notice to individuals of the authority that authorizes the solicitation of the information; whether providing the information is mandatory or voluntary; the principal purpose(s) for which the information is to be used; the published routine uses to which the information is subject; the effects on the individual, if any, of not providing all or any part of the information requested; and an appropriate citation and link to the relevant system of records notice. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding the notice provisions of the PRIVACT.

+ + + +

Privacy Act statements are included on forms that collect information that will be maintained in a Privacy Act system of records, or Privacy Act statements are provided on separate forms that can be retained by individuals.

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy notice

+

Privacy Act system of records

+

forms that include Privacy Act statements

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for including Privacy Act statements on forms that collect information or on separate forms that can be retained by individuals

+ + + + + + System of Records Notice + + + + + + + + + + + + + +

For systems that process information that will be maintained in a Privacy Act system of records:

+ + +

Draft system of records notices in accordance with OMB guidance and submit new and significantly modified system of records notices to the OMB and appropriate congressional committees for advance review;

+ + + +

Publish system of records notices in the Federal Register; and

+ + + +

Keep system of records notices accurate, up-to-date, and scoped in accordance with policy.

+ + + +

The PRIVACT requires that federal agencies publish a system of records notice in the Federal Register upon the establishment and/or modification of a PRIVACT system of records. As a general matter, a system of records notice is required when an agency maintains a group of any records under the control of the agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifier. The notice describes the existence and character of the system and identifies the system of records, the purpose(s) of the system, the authority for maintenance of the records, the categories of records maintained in the system, the categories of individuals about whom records are maintained, the routine uses to which the records are subject, and additional details about the system as described in OMB A-108.

+ + + + + + + +

system of records notices are drafted in accordance with OMB guidance for systems that process information that will be maintained in a Privacy Act system of records;

+ + + + +

new and significantly modified system of records notices are submitted to the OMB and appropriate congressional committees for advance review for systems that process information that will be maintained in a Privacy Act system of records;

+ + + + + + +

system of records notices are published in the Federal Register for systems that process information that will be maintained in a Privacy Act system of records;

+ + + + +

system of records notices are kept accurate, up-to-date, and scoped in accordance with policy for systems that process information that will be maintained in a Privacy Act system of records.

+ + + + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy notice

+

Privacy Act system of records

+

Federal Register notices

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for Privacy Act system of records maintenance

+ + + + Routine Uses + + + + + +

the frequency at which to review all routine uses published in the system of records notice is defined;

+ + + + + + + + + +

Review all routine uses published in the system of records notice at to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.

+ + +

A PRIVACT routine use is a particular kind of disclosure of a record outside of the federal agency maintaining the system of records. A routine use is an exception to the PRIVACT prohibition on the disclosure of a record in a system of records without the prior written consent of the individual to whom the record pertains. To qualify as a routine use, the disclosure must be for a purpose that is compatible with the purpose for which the information was originally collected. The PRIVACT requires agencies to describe each routine use of the records maintained in the system of records, including the categories of users of the records and the purpose of the use. Agencies may only establish routine uses by explicitly publishing them in the relevant system of records notice.

+ + + +

all routine uses published in the system of records notice are reviewed to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy notice

+

Privacy Act system of records

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for reviewing system of records notices

+ + + + + Exemption Rules + + + + + +

the frequency at which to review all Privacy Act exemptions claimed for the system of records is defined;

+ + + + + + + + + +

Review all Privacy Act exemptions claimed for the system of records at to ensure they remain appropriate and necessary in accordance with law, that they have been promulgated as regulations, and that they are accurately described in the system of records notice.

+ + +

The PRIVACT includes two sets of provisions that allow federal agencies to claim exemptions from certain requirements in the statute. In certain circumstances, these provisions allow agencies to promulgate regulations to exempt a system of records from select provisions of the PRIVACT . At a minimum, organizations’ PRIVACT exemption regulations include the specific name(s) of any system(s) of records that will be exempt, the specific provisions of the PRIVACT from which the system(s) of records is to be exempted, the reasons for the exemption, and an explanation for why the exemption is both necessary and appropriate.

+ + + + + +

all Privacy Act exemptions claimed for the system of records are reviewed to ensure that they remain appropriate and necessary in accordance with law;

+ + + + +

all Privacy Act exemptions claimed for the system of records are reviewed to ensure that they have been promulgated as regulations;

+ + + + +

all Privacy Act exemptions claimed for the system of records are reviewed to ensure that they are accurately described in the system of records notice.

+ + + + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy notice

+

Privacy Act system of records

+

Privacy Act exemptions

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for Privacy Act system of records maintenance

+ + + + + + Specific Categories of Personally Identifiable Information + + + + + +

processing conditions to be applied for specific categories of personally identifiable information are defined;

+ + + + + + + + + + + + + + + + +

Apply for specific categories of personally identifiable information.

+ + +

Organizations apply any conditions or protections that may be necessary for specific categories of personally identifiable information. These conditions may be required by laws, executive orders, directives, regulations, policies, standards, or guidelines. The requirements may also come from the results of privacy risk assessments that factor in contextual changes that may result in an organizational determination that a particular category of personally identifiable information is particularly sensitive or raises particular privacy risks. Organizations consult with the senior agency official for privacy and legal counsel regarding any protections that may be necessary.

+ + + +

are applied for specific categories of personally identifiable information.

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy notice

+

Privacy Act system of records

+

computer matching agreements and notices

+

contracts

+

privacy information sharing agreements

+

memoranda of understanding

+

governing requirements

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for supporting and/or implementing personally identifiable information processing

+ + + + Social Security Numbers + + + + + + + + +

When a system processes Social Security numbers:

+ + +

Eliminate unnecessary collection, maintenance, and use of Social Security numbers, and explore alternatives to their use as a personal identifier;

+ + + +

Do not deny any individual any right, benefit, or privilege provided by law because of such individual’s refusal to disclose his or her Social Security number; and

+ + + +

Inform any individual who is asked to disclose his or her Social Security number whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it.

+ + + +

Federal law and policy establish specific requirements for organizations’ processing of Social Security numbers. Organizations take steps to eliminate unnecessary uses of Social Security numbers and other sensitive information and observe any particular requirements that apply.

+ + + + + + + +

when a system processes Social Security numbers, the unnecessary collection, maintenance, and use of Social Security numbers are eliminated;

+ + + + +

when a system processes Social Security numbers, alternatives to the use of Social Security Numbers as a personal identifier are explored;

+ + + + + + +

when a system processes Social Security numbers, individual rights, benefits, or privileges provided by law are not denied because of an individual’s refusal to disclose their Social Security number;

+ + + + + + +

when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it;

+ + + + +

when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed by what statutory or other authority the number is solicited;

+ + + + +

when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed what uses will be made of it.

+ + + + + + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy notice

+

Privacy Act system of records

+

privacy notice

+

separate notice regarding the use of Social Security numbers

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for identifying, reviewing, and taking action to control the unnecessary use of Social Security numbers

+

implementation of an alternative to Social Security numbers as identifiers

+ + + + + First Amendment Information + + + + + + + +

Prohibit the processing of information describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity.

+ + +

The PRIVACT limits agencies’ ability to process information that describes how individuals exercise rights guaranteed by the First Amendment. Organizations consult with the senior agency official for privacy and legal counsel regarding these requirements.

+ + + +

the processing of information describing how any individual exercises rights guaranteed by the First Amendment is prohibited unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity.

+ + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy notice

+

Privacy Act system of records

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for supporting and/or implementing personally identifiable information processing

+ + + + + + Computer Matching Requirements + + + + + + + + + + + +

When a system or organization processes information for the purpose of conducting a matching program:

+ + +

Obtain approval from the Data Integrity Board to conduct the matching program;

+ + + +

Develop and enter into a computer matching agreement;

+ + + +

Publish a matching notice in the Federal Register;

+ + + +

Independently verify the information produced by the matching program before taking adverse action against an individual, if required; and

+ + + +

Provide individuals with notice and an opportunity to contest the findings before taking adverse action against an individual.

+ + + +

The PRIVACT establishes requirements for federal and non-federal agencies if they engage in a matching program. In general, a matching program is a computerized comparison of records from two or more automated PRIVACT systems of records or an automated system of records and automated records maintained by a non-federal agency (or agent thereof). A matching program either pertains to federal benefit programs or federal personnel or payroll records. A federal benefit match is performed to determine or verify eligibility for payments under federal benefit programs or to recoup payments or delinquent debts under federal benefit programs. A matching program involves not just the matching activity itself but also the investigative follow-up and ultimate action, if any.

+ + + + + +

approval to conduct the matching program is obtained from the Data Integrity Board when a system or organization processes information for the purpose of conducting a matching program;

+ + + + + + +

a computer matching agreement is developed when a system or organization processes information for the purpose of conducting a matching program;

+ + + + +

a computer matching agreement is entered into when a system or organization processes information for the purpose of conducting a matching program;

+ + + + + + +

a matching notice is published in the Federal Register when a system or organization processes information for the purpose of conducting a matching program;

+ + + + +

the information produced by the matching program is independently verified before taking adverse action against an individual, if required, when a system or organization processes information for the purpose of conducting a matching program;

+ + + + + + +

individuals are provided with notice when a system or organization processes information for the purpose of conducting a matching program;

+ + + + +

individuals are provided with an opportunity to contest the findings before adverse action is taken against them when a system or organization processes information for the purpose of conducting a matching program.

+ + + + + + + + + + +

Personally identifiable information processing and transparency policy and procedures

+

privacy notice

+

Privacy Act system of records

+

Federal Register notices

+

Data Integrity Board determinations

+

contracts

+

information sharing agreements

+

memoranda of understanding

+

governing requirements

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with personally identifiable information processing and transparency responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for supporting and/or implementing personally identifiable information processing

+

matching program

+ + + + + + Risk Assessment + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the risk assessment policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the risk assessment procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the risk assessment policy and procedures is defined;

+ + + + + + + +

the frequency at which the current risk assessment policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current risk assessment policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current risk assessment procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require risk assessment procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

risk assessment policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and

+ + + +

Review and update the current risk assessment:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Risk assessment policy and procedures address the controls in the RA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of risk assessment policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to risk assessment policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a risk assessment policy is developed and documented;

+ + + + +

the risk assessment policy is disseminated to ;

+ + + + +

risk assessment procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls are developed and documented;

+ + + + +

the risk assessment procedures are disseminated to ;

+ + + + + + + + +

the risk assessment policy addresses purpose;

+ + + + +

the risk assessment policy addresses scope;

+ + + + +

the risk assessment policy addresses roles;

+ + + + +

the risk assessment policy addresses responsibilities;

+ + + + +

the risk assessment policy addresses management commitment;

+ + + + +

the risk assessment policy addresses coordination among organizational entities;

+ + + + +

the risk assessment policy addresses compliance;

+ + + + + + +

the risk assessment policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the risk assessment policy and procedures;

+ + + + + + + + +

the current risk assessment policy is reviewed and updated ;

+ + + + +

the current risk assessment policy is reviewed and updated following ;

+ + + + + + + + +

the current risk assessment procedures are reviewed and updated ;

+ + + + +

the current risk assessment procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Risk assessment policy and procedures

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with risk assessment responsibilities

+

organizational personnel with security and privacy responsibilities

+ + + + + Security Categorization + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Categorize the system and information it processes, stores, and transmits;

+ + + +

Document the security categorization results, including supporting rationale, in the security plan for the system; and

+ + + +

Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.

+ + + +

Security categories describe the potential adverse impacts or negative consequences to organizational operations, organizational assets, and individuals if organizational information and systems are compromised through a loss of confidentiality, integrity, or availability. Security categorization is also a type of asset loss characterization in systems security engineering processes that is carried out throughout the system development life cycle. Organizations can use privacy risk assessments or privacy impact assessments to better understand the potential adverse effects on individuals. CNSSI 1253 provides additional guidance on categorization for national security systems.

+

Organizations conduct the security categorization process as an organization-wide activity with the direct involvement of chief information officers, senior agency information security officers, senior agency officials for privacy, system owners, mission and business owners, and information owners or stewards. Organizations consider the potential adverse impacts to other organizations and, in accordance with USA PATRIOT and Homeland Security Presidential Directives, potential national-level adverse impacts.

+

Security categorization processes facilitate the development of inventories of information assets and, along with CM-8 , mappings to specific system components where information is processed, stored, or transmitted. The security categorization process is revisited throughout the system development life cycle to ensure that the security categories remain accurate and relevant.

+ + + + + +

the system and the information it processes, stores, and transmits are categorized;

+ + + + +

the security categorization results, including supporting rationale, are documented in the security plan for the system;

+ + + + +

the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.

+ + + + + + + + +

Risk assessment policy

+

security planning policy and procedures

+

procedures addressing security categorization of organizational information and systems

+

security categorization documentation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security categorization and risk assessment responsibilities

+

organizational personnel with security and privacy responsibilities

+ + + + + + +

Organizational processes for security categorization

+ + + + Impact-level Prioritization + + + + + + + +

Conduct an impact-level prioritization of organizational systems to obtain additional granularity on system impact levels.

+ + +

Organizations apply the high-water mark concept to each system categorized in accordance with FIPS 199 , resulting in systems designated as low impact, moderate impact, or high impact. Organizations that desire additional granularity in the system impact designations for risk-based decision-making, can further partition the systems into sub-categories of the initial system categorization. For example, an impact-level prioritization on a moderate-impact system can produce three new sub-categories: low-moderate systems, moderate-moderate systems, and high-moderate systems. Impact-level prioritization and the resulting sub-categories of the system give organizations an opportunity to focus their investments related to security control selection and the tailoring of control baselines in responding to identified risks. Impact-level prioritization can also be used to determine those systems that may be of heightened interest or value to adversaries or represent a critical loss to the federal enterprise, sometimes described as high value assets. For such high value assets, organizations may be more focused on complexity, aggregation, and information exchanges. Systems with high value assets can be prioritized by partitioning high-impact systems into low-high systems, moderate-high systems, and high-high systems. Alternatively, organizations can apply the guidance in CNSSI 1253 for security objective-related categorization.

+ + + +

an impact-level prioritization of organizational systems is conducted to obtain additional granularity on system impact levels.

+ + + + + + +

Risk assessment policy

+

security and privacy planning policy and procedures

+

procedures addressing security categorization of organizational information and systems

+

security categorization documentation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security categorization and risk assessment responsibilities

+

organizational personnel with security and privacy responsibilities

+ + + + + + +

Organizational processes for security categorization

+ + + + + + Risk Assessment + + + + + + + + + + +

a document in which risk assessment results are to be documented (if not documented in the security and privacy plans or risk assessment report) is defined (if selected);

+ + + + + + + +

the frequency to review risk assessment results is defined;

+ + + + + + + +

personnel or roles to whom risk assessment results are to be disseminated is/are defined;

+ + + + + + + +

the frequency to update the risk assessment is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Conduct a risk assessment, including:

+ + +

Identifying threats to and vulnerabilities in the system;

+ + + +

Determining the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and

+ + + +

Determining the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;

+ + + + +

Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments;

+ + + +

Document risk assessment results in ;

+ + + +

Review risk assessment results ;

+ + + +

Disseminate risk assessment results to ; and

+ + + +

Update the risk assessment or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.

+ + + +

Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation. Risk assessments also consider risk from external parties, including contractors who operate systems on behalf of the organization, individuals who access organizational systems, service providers, and outsourcing entities.

+

Organizations can conduct risk assessments at all three levels in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any stage in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including preparation, categorization, control selection, control implementation, control assessment, authorization, and control monitoring. Risk assessment is an ongoing activity carried out throughout the system development life cycle.

+

Risk assessments can also address information related to the system, including system design, the intended use of the system, testing results, and supply chain-related information or artifacts. Risk assessments can play an important role in control selection processes, particularly during the application of tailoring guidance and in the earliest phases of capability determination.

+ + + + + + + +

a risk assessment is conducted to identify threats to and vulnerabilities in the system;

+ + + + +

a risk assessment is conducted to determine the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system; the information it processes, stores, or transmits; and any related information;

+ + + + +

a risk assessment is conducted to determine the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;

+ + + + + + +

risk assessment results and risk management decisions from the organization and mission or business process perspectives are integrated with system-level risk assessments;

+ + + + +

risk assessment results are documented in ;

+ + + + +

risk assessment results are reviewed ;

+ + + + +

risk assessment results are disseminated to ;

+ + + + +

the risk assessment is updated or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.

+ + + + + + + + +

Risk assessment policy

+

risk assessment procedures

+

security and privacy planning policy and procedures

+

procedures addressing organizational assessments of risk

+

risk assessment

+

risk assessment results

+

risk assessment reviews

+

risk assessment updates

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with risk assessment responsibilities

+

organizational personnel with security and privacy responsibilities

+ + + + + + +

Organizational processes for risk assessment

+

mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment

+ + + + Supply Chain Risk Assessment + + + + + +

systems, system components, and system services to assess supply chain risks are defined;

+ + + + + + + +

the frequency at which to update the supply chain risk assessment is defined;

+ + + + + + + + + + + + + + + + + +

Assess supply chain risks associated with ; and

+ + + +

Update the supply chain risk assessment , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain.

+ + + +

Supply chain-related events include disruption, use of defective components, insertion of counterfeits, theft, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and, therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required.

+ + + + + +

supply chain risks associated with are assessed;

+ + + + +

the supply chain risk assessment is updated , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain.

+ + + + + + + + +

Supply chain risk management policy

+

inventory of critical systems, system components, and system services

+

risk assessment policy

+

security planning policy and procedures

+

procedures addressing organizational assessments of supply chain risk

+

risk assessment

+

risk assessment results

+

risk assessment reviews

+

risk assessment updates

+

acquisition policy

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with risk assessment responsibilities

+

organizational personnel with security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for risk assessment

+

mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the supply chain risk assessment

+ + + + + Use of All-source Intelligence + + + + + + + + +

Use all-source intelligence to assist in the analysis of risk.

+ + +

Organizations employ all-source intelligence to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of information derived from all available sources, including publicly available or open-source information, measurement and signature intelligence, human intelligence, signals intelligence, and imagery intelligence. All-source intelligence is used to analyze the risk of vulnerabilities (both intentional and unintentional) from development, manufacturing, and delivery processes, people, and the environment. The risk analysis may be performed on suppliers at multiple tiers in the supply chain sufficient to manage risks. Organizations may develop agreements to share all-source intelligence information or resulting decisions with other organizations, as appropriate.

+ + + +

all-source intelligence is used to assist in the analysis of risk.

+ + + + + + +

Risk assessment policy

+

security planning policy and procedures

+

procedures addressing organizational assessments of risk

+

risk assessment

+

risk assessment results

+

risk assessment reviews

+

risk assessment updates

+

risk intelligence reports

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with risk assessment responsibilities

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for risk assessment

+

mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment

+ + + + + Dynamic Threat Awareness + + + + + +

means to determine the current cyber threat environment on an ongoing basis;

+ + + + + + + + + + + +

Determine the current cyber threat environment on an ongoing basis using .

+ + +

The threat awareness information that is gathered feeds into the organization’s information security operations to ensure that procedures are updated in response to the changing threat environment. For example, at higher threat levels, organizations may change the privilege or authentication thresholds required to perform certain operations.

+ + + +

the current cyber threat environment is determined on an ongoing basis using .

+ + + + + + +

Risk assessment policy

+

security planning policy and procedures

+

procedures addressing organizational assessments of risk

+

risk assessment

+

risk assessment results

+

risk assessment reviews

+

risk assessment updates

+

risk reports

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with risk assessment responsibilities

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for risk assessment

+

mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment

+ + + + + Predictive Cyber Analytics + + + + + + + + + +

advanced automation capabilities to predict and identify risks are defined;

+ + + + + + + +

systems or system components where advanced automation and analytics capabilities are to be employed are defined;

+ + + + + + +

advanced analytics capabilities to predict and identify risks are defined;

+ + + + + + + + + + +

Employ the following advanced automation and analytics capabilities to predict and identify risks to : .

+ + +

A properly resourced Security Operations Center (SOC) or Computer Incident Response Team (CIRT) may be overwhelmed by the volume of information generated by the proliferation of security tools and appliances unless it employs advanced automation and analytics to analyze the data. Advanced automation and analytics capabilities are typically supported by artificial intelligence concepts, including machine learning. Examples include Automated Threat Discovery and Response (which includes broad-based collection, context-based analysis, and adaptive response capabilities), automated workflow operations, and machine assisted decision tools. Note, however, that sophisticated adversaries may be able to extract information related to analytic parameters and retrain the machine learning to classify malicious activity as benign. Accordingly, machine learning is augmented by human monitoring to ensure that sophisticated adversaries are not able to conceal their activities.

+ + + + + +

are employed to predict and identify risks to ;

+ + + + +

are employed to predict and identify risks to .

+ + + + + + + + +

Risk assessment policy

+

security planning policy and procedures

+

procedures addressing organizational assessments of risk

+

risk assessment

+

risk assessment results

+

risk assessment reviews

+

risk assessment updates

+

risk reports

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with risk assessment responsibilities

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for risk assessment

+

mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment

+ + + + + + Risk Assessment Update + + + + + + + + + Vulnerability Monitoring and Scanning + + + + + + + + + +

frequency for monitoring systems and hosted applications for vulnerabilities is defined;

+ + + + + + +

frequency for scanning systems and hosted applications for vulnerabilities is defined;

+ + + + + + + +

response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk are defined;

+ + + + + + + +

personnel or roles with whom information obtained from the vulnerability scanning process and control assessments is to be shared;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Monitor and scan for vulnerabilities in the system and hosted applications and when new vulnerabilities potentially affecting the system are identified and reported;

+ + + +

Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:

+ + +

Enumerating platforms, software flaws, and improper configurations;

+ + + +

Formatting checklists and test procedures; and

+ + + +

Measuring vulnerability impact;

+ + + + +

Analyze vulnerability scan reports and results from vulnerability monitoring;

+ + + +

Remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;

+ + + +

Share information obtained from the vulnerability monitoring process and control assessments with to help eliminate similar vulnerabilities in other systems; and

+ + + +

Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned.

+ + + +

Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability monitoring (including scans). Organizations determine the required vulnerability monitoring for system components, ensuring that the potential sources of vulnerabilities—such as infrastructure components (e.g., switches, routers, guards, sensors), networked printers, scanners, and copiers—are not overlooked. The capability to readily update vulnerability monitoring tools as new vulnerabilities are discovered and announced and as new scanning methods are developed helps to ensure that new vulnerabilities are not missed by employed vulnerability monitoring tools. The vulnerability monitoring tool update process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability monitoring and analyses for custom software may require additional approaches, such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools, including web-based application scanners, static analysis tools, and binary analyzers.

+

Vulnerability monitoring includes scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for flow control mechanisms that are improperly configured or operating incorrectly. Vulnerability monitoring may also include continuous vulnerability monitoring tools that use instrumentation to continuously analyze components. Instrumentation-based tools may improve accuracy and may be run throughout an organization without scanning. Vulnerability monitoring tools that facilitate interoperability include tools that are Security Content Automated Protocol (SCAP)-validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments, such as red team exercises, provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).

+

Vulnerability monitoring includes a channel and process for receiving reports of security vulnerabilities from the public at-large. Vulnerability disclosure programs can be as simple as publishing a monitored email address or web form that can receive reports, including notification authorizing good-faith research and disclosure of security vulnerabilities. Organizations generally expect that such research is happening with or without their authorization and can use public vulnerability disclosure channels to increase the likelihood that discovered vulnerabilities are reported directly to the organization for remediation.

+

Organizations may also employ the use of financial incentives (also known as bug bounties ) to further encourage external security researchers to report discovered vulnerabilities. Bug bounty programs can be tailored to the organization’s needs. Bounties can be operated indefinitely or over a defined period of time and can be offered to the general public or to a curated group. Organizations may run public and private bounties simultaneously and could choose to offer partially credentialed access to certain participants in order to evaluate security vulnerabilities from privileged vantage points.

+ + + + + + + +

systems and hosted applications are monitored for vulnerabilities and when new vulnerabilities potentially affecting the system are identified and reported;

+ + + + +

systems and hosted applications are scanned for vulnerabilities and when new vulnerabilities potentially affecting the system are identified and reported;

+ + + + + + +

vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools;

+ + +

vulnerability monitoring tools and techniques are employed to automate parts of the vulnerability management process by using standards for enumerating platforms, software flaws, and improper configurations;

+ + + + +

vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools and to automate parts of the vulnerability management process by using standards for formatting checklists and test procedures;

+ + + + +

vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools and to automate parts of the vulnerability management process by using standards for measuring vulnerability impact;

+ + + + + + +

vulnerability scan reports and results from vulnerability monitoring are analyzed;

+ + + + +

legitimate vulnerabilities are remediated in accordance with an organizational assessment of risk;

+ + + + +

information obtained from the vulnerability monitoring process and control assessments is shared with to help eliminate similar vulnerabilities in other systems;

+ + + + +

vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned are employed.

+ + + + + + + + +

Risk assessment policy

+

procedures addressing vulnerability scanning

+

risk assessment

+

assessment report

+

vulnerability scanning tools and associated configuration documentation

+

vulnerability scanning results

+

patch and vulnerability management records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities

+

organizational personnel with vulnerability scan analysis responsibilities

+

organizational personnel with vulnerability remediation responsibilities

+

organizational personnel with security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for vulnerability scanning, analysis, remediation, and information sharing

+

mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing

+ + + + Update Tool Capability + + + + + + + + + Update Vulnerabilities to Be Scanned + + + + + + + + + + +

the frequency for updating the system vulnerabilities to be scanned is defined (if selected);

+ + + + + + + + + + + +

Update the system vulnerabilities to be scanned .

+ + +

Due to the complexity of modern software, systems, and other factors, new vulnerabilities are discovered on a regular basis. It is important that newly discovered vulnerabilities are added to the list of vulnerabilities to be scanned to ensure that the organization can take steps to mitigate those vulnerabilities in a timely manner.

+ + + +

the system vulnerabilities to be scanned are updated .

+ + + + + + +

Procedures addressing vulnerability scanning

+

assessment report

+

vulnerability scanning tools and associated configuration documentation

+

vulnerability scanning results

+

patch and vulnerability management records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with vulnerability scanning responsibilities

+

organizational personnel with vulnerability scan analysis responsibilities

+

organizational personnel with security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for vulnerability scanning

+

mechanisms/tools supporting and/or implementing vulnerability scanning

+ + + + + Breadth and Depth of Coverage + + + + + + + + +

Define the breadth and depth of vulnerability scanning coverage.

+ + +

The breadth of vulnerability scanning coverage can be expressed as a percentage of components within the system, by the particular types of systems, by the criticality of systems, or by the number of vulnerabilities to be checked. Conversely, the depth of vulnerability scanning coverage can be expressed as the level of the system design that the organization intends to monitor (e.g., component, module, subsystem, element). Organizations can determine the sufficiency of vulnerability scanning coverage with regard to its risk tolerance and other factors. Scanning tools and how the tools are configured may affect the depth and coverage. Multiple scanning tools may be needed to achieve the desired depth and coverage. SP 800-53A provides additional information on the breadth and depth of coverage.

+ + + +

the breadth and depth of vulnerability scanning coverage are defined.

+ + + + + + +

Procedures addressing vulnerability scanning

+

assessment report

+

vulnerability scanning tools and associated configuration documentation

+

vulnerability scanning results

+

patch and vulnerability management records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with vulnerability scanning responsibilities

+

organizational personnel with vulnerability scan analysis responsibilities

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for vulnerability scanning

+

mechanisms/tools supporting and/or implementing vulnerability scanning

+ + + + + Discoverable Information + + + + + +

corrective actions to be taken if information about the system is discoverable are defined;

+ + + + + + + + + + + + +

Determine information about the system that is discoverable and take .

+ + +

Discoverable information includes information that adversaries could obtain without compromising or breaching the system, such as by collecting information that the system is exposing or by conducting extensive web searches. Corrective actions include notifying appropriate organizational personnel, removing designated information, or changing the system to make the designated information less relevant or attractive to adversaries. This enhancement excludes intentionally discoverable information that may be part of a decoy capability (e.g., honeypots, honeynets, or deception nets) deployed by the organization.

+ + + + + +

information about the system is discoverable;

+ + + + +

are taken when information about the system is confirmed as discoverable.

+ + + + + + + + +

Procedures addressing vulnerability scanning

+

assessment report

+

penetration test results

+

vulnerability scanning results

+

risk assessment report

+

records of corrective actions taken

+

incident response records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with vulnerability scanning and/or penetration testing responsibilities

+

organizational personnel with vulnerability scan analysis responsibilities

+

organizational personnel responsible for risk response

+

organizational personnel responsible for incident management and response

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for vulnerability scanning

+

organizational processes for risk response

+

organizational processes for incident management and response

+

mechanisms/tools supporting and/or implementing vulnerability scanning

+

mechanisms supporting and/or implementing risk response

+

mechanisms supporting and/or implementing incident management and response

+ + + + + Privileged Access + + + + + +

system components to which privileged access is authorized for selected vulnerability scanning activities are defined;

+ + + + + + + +

vulnerability scanning activities selected for privileged access authorization to system components are defined;

+ + + + + + + + + + +

Implement privileged access authorization to for .

+ + +

In certain situations, the nature of the vulnerability scanning may be more intrusive, or the system component that is the subject of the scanning may contain classified or controlled unclassified information, such as personally identifiable information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning.

+ + + +

privileged access authorization is implemented to for .

+ + + + + + +

Risk assessment policy

+

procedures addressing vulnerability scanning

+

system design documentation

+

system configuration settings and associated documentation

+

list of system components for vulnerability scanning

+

personnel access authorization list

+

authorization credentials

+

access authorization records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with vulnerability scanning responsibilities

+

system/network administrators

+

organizational personnel responsible for access control to the system

+

organizational personnel responsible for configuration management of the system

+

system developers

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for vulnerability scanning

+

organizational processes for access control

+

mechanisms supporting and/or implementing access control

+

mechanisms/tools supporting and/or implementing vulnerability scanning

+ + + + + Automated Trend Analyses + + + + + +

automated mechanisms to compare the results of multiple vulnerability scans are defined;

+ + + + + + + + + + +

Compare the results of multiple vulnerability scans using .

+ + +

Using automated mechanisms to analyze multiple vulnerability scans over time can help determine trends in system vulnerabilities and identify patterns of attack.

+ + + +

the results of multiple vulnerability scans are compared using .

+ + + + + + +

Risk assessment policy

+

procedures addressing vulnerability scanning

+

system design documentation

+

vulnerability scanning tools and techniques documentation

+

vulnerability scanning results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with vulnerability scanning responsibilities

+

organizational personnel with vulnerability scan analysis responsibilities

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for vulnerability scanning

+

automated mechanisms/tools supporting and/or implementing vulnerability scanning

+

automated mechanisms supporting and/or implementing trend analysis of vulnerability scan results

+ + + + + Automated Detection and Notification of Unauthorized Components + + + + + + + + + Review Historic Audit Logs + + + + + +

a system whose historic audit logs are to be reviewed is defined;

+ + + + + + + +

a time period for a potential previous exploit of a system is defined;

+ + + + + + + + + + + + +

Review historic audit logs to determine if a vulnerability identified in a has been previously exploited within an .

+ + +

Reviewing historic audit logs to determine if a recently detected vulnerability in a system has been previously exploited by an adversary can provide important information for forensic analyses. Such analyses can help identify, for example, the extent of a previous intrusion, the trade craft employed during the attack, organizational information exfiltrated or modified, mission or business capabilities affected, and the duration of the attack.

+ + + +

historic audit logs are reviewed to determine if a vulnerability identified in a has been previously exploited within .

+ + + + + + +

Risk assessment policy

+

procedures addressing vulnerability scanning

+

audit logs

+

records of audit log reviews

+

vulnerability scanning results

+

patch and vulnerability management records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with vulnerability scanning responsibilities

+

organizational personnel with vulnerability scan analysis responsibilities

+

organizational personnel with audit record review responsibilities

+

system/network administrators

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for vulnerability scanning

+

organizational process for audit record review and response

+

mechanisms/tools supporting and/or implementing vulnerability scanning

+

mechanisms supporting and/or implementing audit record review

+ + + + + Penetration Testing and Analyses + + + + + + + + + Correlate Scanning Information + + + + + + + + +

Correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability and multi-hop attack vectors.

+ + +

An attack vector is a path or means by which an adversary can gain access to a system in order to deliver malicious code or exfiltrate information. Organizations can use attack trees to show how hostile activities by adversaries interact and combine to produce adverse impacts or negative consequences to systems and organizations. Such information, together with correlated data from vulnerability scanning tools, can provide greater clarity regarding multi-vulnerability and multi-hop attack vectors. The correlation of vulnerability scanning information is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). During such transitions, some system components may inadvertently be unmanaged and create opportunities for adversary exploitation.

+ + + +

the output from vulnerability scanning tools is correlated to determine the presence of multi-vulnerability and multi-hop attack vectors.

+ + + + + + +

Risk assessment policy

+

procedures addressing vulnerability scanning

+

risk assessment

+

vulnerability scanning tools and techniques documentation

+

vulnerability scanning results

+

vulnerability management records

+

audit records

+

event/vulnerability correlation logs

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with vulnerability scanning responsibilities

+

organizational personnel with vulnerability scan analysis responsibilities

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for vulnerability scanning

+

mechanisms/tools supporting and/or implementing vulnerability scanning

+

mechanisms implementing the correlation of vulnerability scan results

+ + + + + Public Disclosure Program + + + + + + + + +

Establish a public reporting channel for receiving reports of vulnerabilities in organizational systems and system components.

+ + +

The reporting channel is publicly discoverable and contains clear language authorizing good-faith research and the disclosure of vulnerabilities to the organization. The organization does not condition its authorization on an expectation of indefinite non-disclosure to the public by the reporting entity but may request a specific time period to properly remediate the vulnerability.

+ + + +

a public reporting channel is established for receiving reports of vulnerabilities in organizational systems and system components.

+ + + + + + +

Risk assessment policy

+

procedures addressing vulnerability scanning

+

risk assessment

+

vulnerability scanning tools and techniques documentation

+

vulnerability scanning results

+

vulnerability management records

+

audit records

+

public reporting channel

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with vulnerability scanning responsibilities

+

organizational personnel with vulnerability scan analysis responsibilities

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for vulnerability scanning

+

mechanisms/tools supporting and/or implementing vulnerability scanning

+

mechanisms implementing the public reporting of vulnerabilities

+ + + + + + Technical Surveillance Countermeasures Survey + + + + + +

locations to employ technical surveillance countermeasure surveys are defined;

+ + + + + + + + + + + + +

the frequency at which to employ technical surveillance countermeasure surveys is defined (if selected);

+ + + + + + + +

events or indicators which, if they occur, trigger a technical surveillance countermeasures survey are defined (if selected);

+ + + + + + + + + +

Employ a technical surveillance countermeasures survey at .

+ + +

A technical surveillance countermeasures survey is a service provided by qualified personnel to detect the presence of technical surveillance devices and hazards and to identify technical security weaknesses that could be used in the conduct of a technical penetration of the surveyed facility. Technical surveillance countermeasures surveys also provide evaluations of the technical security posture of organizations and facilities and include visual, electronic, and physical examinations of surveyed facilities, internally and externally. The surveys also provide useful input for risk assessments and information regarding organizational exposure to potential adversaries.

+ + + +

a technical surveillance countermeasures survey is employed at .

+ + + + + + +

Risk assessment policy

+

procedures addressing technical surveillance countermeasures surveys

+

audit records/event logs

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with technical surveillance countermeasures surveys responsibilities

+

system/network administrators

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for technical surveillance countermeasures surveys

+

mechanisms/tools supporting and/or implementing technical surveillance countermeasure surveys

+ + + + + Risk Response + + + + + + + + + + + + + + + + + + + + +

Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance.

+ + +

Organizations have many options for responding to risk including mitigating risk by implementing new controls or strengthening existing controls, accepting risk with appropriate justification or rationale, sharing or transferring risk, or avoiding risk. The risk tolerance of the organization influences risk response decisions and actions. Risk response addresses the need to determine an appropriate response to risk before generating a plan of action and milestones entry. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so that a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk, and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated.

+ + + + + +

findings from security assessments are responded to in accordance with organizational risk tolerance;

+ + + + +

findings from privacy assessments are responded to in accordance with organizational risk tolerance;

+ + + + +

findings from monitoring are responded to in accordance with organizational risk tolerance;

+ + + + +

findings from audits are responded to in accordance with organizational risk tolerance.

+ + + + + + + + +

Risk assessment policy

+

assessment reports

+

audit records/event logs

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with assessment and auditing responsibilities

+

system/network administrators

+

organizational personnel with security and privacy responsibilities

+ + + + + + +

Organizational processes for assessments and audits

+

mechanisms/tools supporting and/or implementing assessments and auditing

+ + + + + Privacy Impact Assessments + + + + + + + + + + + + + + + + + + + + +

Conduct privacy impact assessments for systems, programs, or other activities before:

+ + +

Developing or procuring information technology that processes personally identifiable information; and

+ + + +

Initiating a new collection of personally identifiable information that:

+ + +

Will be processed using information technology; and

+ + + +

Includes personally identifiable information permitting the physical or virtual (online) contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more individuals, other than agencies, instrumentalities, or employees of the federal government.

+ + + + +

A privacy impact assessment is an analysis of how personally identifiable information is handled to ensure that handling conforms to applicable privacy requirements, determine the privacy risks associated with an information system or activity, and evaluate ways to mitigate privacy risks. A privacy impact assessment is both an analysis and a formal document that details the process and the outcome of the analysis.

+

Organizations conduct and develop a privacy impact assessment with sufficient clarity and specificity to demonstrate that the organization fully considered privacy and incorporated appropriate privacy protections from the earliest stages of the organization’s activity and throughout the information life cycle. In order to conduct a meaningful privacy impact assessment, the organization’s senior agency official for privacy works closely with program managers, system owners, information technology experts, security officials, counsel, and other relevant organization personnel. Moreover, a privacy impact assessment is not a time-restricted activity that is limited to a particular milestone or stage of the information system or personally identifiable information life cycles. Rather, the privacy analysis continues throughout the system and personally identifiable information life cycles. Accordingly, a privacy impact assessment is a living document that organizations update whenever changes to the information technology, changes to the organization’s practices, or other factors alter the privacy risks associated with the use of such information technology.

+

To conduct the privacy impact assessment, organizations can use security and privacy risk assessments. Organizations may also use other related processes that may have different names, including privacy threshold analyses. A privacy impact assessment can also serve as notice to the public regarding the organization’s practices with respect to privacy. Although conducting and publishing privacy impact assessments may be required by law, organizations may develop such policies in the absence of applicable laws. For federal agencies, privacy impact assessments may be required by EGOV ; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision.

+ + + + + +

privacy impact assessments are conducted for systems, programs, or other activities before developing or procuring information technology that processes personally identifiable information;

+ + + + + + +

privacy impact assessments are conducted for systems, programs, or other activities before initiating a collection of personally identifiable information that will be processed using information technology;

+ + + + +

privacy impact assessments are conducted for systems, programs, or other activities before initiating a collection of personally identifiable information that includes personally identifiable information permitting the physical or virtual (online) contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more individuals, other than agencies, instrumentalities, or employees of the federal government.

+ + + + + + + + + + +

Risk assessment policy

+

security and privacy risk assessment reports

+

acquisitions documents

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with assessment and auditing responsibilities

+

system/network administrators

+

system developers

+

program managers

+

legal counsel

+

organizational personnel with security and privacy responsibilities

+ + + + + + +

Organizational processes for assessments and audits

+

mechanisms/tools supporting and/or implementing assessments and auditing

+ + + + + Criticality Analysis + + + + + +

systems, system components, or system services to be analyzed for criticality are defined;

+ + + + + + + +

decision points in the system development life cycle when a criticality analysis is to be performed are defined;

+ + + + + + + + + + + + + + + + + + + + +

Identify critical system components and functions by performing a criticality analysis for at .

+ + +

Not all system components, functions, or services necessarily require significant protections. For example, criticality analysis is a key tenet of supply chain risk management and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable laws, executive orders, regulations, directives, policies, standards, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct a functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and external to the system.

+

The operational environment of a system or a system component may impact the criticality, including the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities that such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions that are supported by the system that contains the components and functions.

+

Criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If such analysis is performed early in the system development life cycle, organizations may be able to modify the system design to reduce the critical nature of these components and functions, such as by adding redundancy or alternate paths into the system design. Criticality analysis can also influence the protection measures required by development contractors. In addition to criticality analysis for systems, system components, and system services, criticality analysis of information is an important consideration. Such analysis is conducted as part of security categorization in RA-2.

+ + + +

critical system components and functions are identified by performing a criticality analysis for at .

+ + + + + + +

Risk assessment policy

+

assessment reports

+

criticality analysis/finalized criticality for each component/subcomponent

+

audit records/event logs

+

analysis reports

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with assessment and auditing responsibilities

+

organizational personnel with criticality analysis responsibilities

+

system/network administrators

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for assessments and audits

+

mechanisms/tools supporting and/or implementing assessments and auditing

+ + + + + Threat Hunting + + + + + +

the frequency at which to employ the threat hunting capability is defined;

+ + + + + + + + + + + + + + + + + + + + +

Establish and maintain a cyber threat hunting capability to:

+ + +

Search for indicators of compromise in organizational systems; and

+ + + +

Detect, track, and disrupt threats that evade existing controls; and

+ + + + +

Employ the threat hunting capability .

+ + + +

Threat hunting is an active means of cyber defense in contrast to traditional protection measures, such as firewalls, intrusion detection and prevention systems, quarantining malicious code in sandboxes, and Security Information and Event Management technologies and systems. Cyber threat hunting involves proactively searching organizational systems, networks, and infrastructure for advanced threats. The objective is to track and disrupt cyber adversaries as early as possible in the attack sequence and to measurably improve the speed and accuracy of organizational responses. Indications of compromise include unusual network traffic, unusual file changes, and the presence of malicious code. Threat hunting teams leverage existing threat intelligence and may create new threat intelligence, which is shared with peer organizations, Information Sharing and Analysis Organizations (ISAO), Information Sharing and Analysis Centers (ISAC), and relevant government departments and agencies.

+ + + + + + + +

a cyber threat capability is established and maintained to search for indicators of compromise in organizational systems;

+ + + + +

a cyber threat capability is established and maintained to detect, track, and disrupt threats that evade existing controls;

+ + + + + + +

the threat hunting capability is employed .

+ + + + + + + + +

Risk assessment policy

+

assessment reports

+

audit records/event logs

+

threat hunting capability

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with threat hunting responsibilities

+

system/network administrators

+

organizational personnel with security responsibilities

+ + + + + + +

Organizational processes for assessments and audits

+

mechanisms/tools supporting and/or implementing threat hunting capabilities

+ + + + + + System and Services Acquisition + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the system and services acquisition policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the system and services acquisition procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the system and services acquisition policy and procedures is defined;

+ + + + + + + +

the frequency at which the current system and services acquisition policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current system and services acquisition policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current system and services acquisition procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require the system and services acquisition procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

system and services acquisition policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and

+ + + +

Review and update the current system and services acquisition:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

System and services acquisition policy and procedures address the controls in the SA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and services acquisition policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and services acquisition policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a system and services acquisition policy is developed and documented;

+ + + + +

the system and services acquisition policy is disseminated to ;

+ + + + +

system and services acquisition procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls are developed and documented;

+ + + + +

the system and services acquisition procedures are disseminated to ;

+ + + + + + + + +

the system and services acquisition policy addresses purpose;

+ + + + +

the system and services acquisition policy addresses scope;

+ + + + +

the system and services acquisition policy addresses roles;

+ + + + +

the system and services acquisition policy addresses responsibilities;

+ + + + +

the system and services acquisition policy addresses management commitment;

+ + + + +

the system and services acquisition policy addresses coordination among organizational entities;

+ + + + +

the system and services acquisition policy addresses compliance;

+ + + + + + +

the system and services acquisition policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures;

+ + + + + + + + +

the system and services acquisition policy is reviewed and updated ;

+ + + + +

the current system and services acquisition policy is reviewed and updated following ;

+ + + + + + + + +

the current system and services acquisition procedures are reviewed and updated ;

+ + + + +

the current system and services acquisition procedures are reviewed and updated following .

+ + + + + + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

supply chain risk management policy

+

supply chain risk management procedures

+

supply chain risk management plan

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + Allocation of Resources + + + + + + + + + + + + + + + + + + +

Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning;

+ + + +

Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and

+ + + +

Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation.

+ + + +

Resource allocation for information security and privacy includes funding for system and services acquisition, sustainment, and supply chain-related risks throughout the system development life cycle.

+ + + + + + + +

the high-level information security requirements for the system or system service are determined in mission and business process planning;

+ + + + +

the high-level privacy requirements for the system or system service are determined in mission and business process planning;

+ + + + + + + + +

the resources required to protect the system or system service are determined and documented as part of the organizational capital planning and investment control process;

+ + + + +

the resources required to protect the system or system service are allocated as part of the organizational capital planning and investment control process;

+ + + + + + + + +

a discrete line item for information security is established in organizational programming and budgeting documentation;

+ + + + +

a discrete line item for privacy is established in organizational programming and budgeting documentation.

+ + + + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

system and services acquisition strategy and plans

+

procedures addressing the allocation of resources to information security and privacy requirements

+

procedures addressing capital planning and investment control

+

organizational programming and budgeting documentation

+

system security plan

+

privacy plan

+

supply chain risk management policy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for determining information security and privacy requirements

+

organizational processes for capital planning, programming, and budgeting

+

mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting

+ + + + + System Development Life Cycle + + + + + + +

system development life cycle is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Acquire, develop, and manage the system using that incorporates information security and privacy considerations;

+ + + +

Define and document information security and privacy roles and responsibilities throughout the system development life cycle;

+ + + +

Identify individuals having information security and privacy roles and responsibilities; and

+ + + +

Integrate the organizational information security and privacy risk management process into system development life cycle activities.

+ + + +

A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. The integration of security and privacy considerations early in the system development life cycle is a foundational principle of systems security engineering and privacy engineering. To apply the required controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical mission and business functions. The security engineering principles in SA-8 help individuals properly design, code, and test systems and system components. Organizations include qualified personnel (e.g., senior agency information security officers, senior agency officials for privacy, security and privacy architects, and security and privacy engineers) in system development life cycle processes to ensure that established security and privacy requirements are incorporated into organizational systems. Role-based security and privacy training programs can ensure that individuals with key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities.

+

The effective integration of security and privacy requirements into enterprise architecture also helps to ensure that important security and privacy considerations are addressed throughout the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with the risk management strategy of the organization. Because the system development life cycle involves multiple organizations, (e.g., external suppliers, developers, integrators, service providers), acquisition and supply chain risk management functions and controls play significant roles in the effective management of the system during the life cycle.

+ + + + + + + +

the system is acquired, developed, and managed using that incorporates information security considerations;

+ + + + +

the system is acquired, developed, and managed using that incorporates privacy considerations;

+ + + + + + + + +

information security roles and responsibilities are defined and documented throughout the system development life cycle;

+ + + + +

privacy roles and responsibilities are defined and documented throughout the system development life cycle;

+ + + + + + + + +

individuals with information security roles and responsibilities are identified;

+ + + + +

individuals with privacy roles and responsibilities are identified;

+ + + + + + + + +

organizational information security risk management processes are integrated into system development life cycle activities;

+ + + + +

organizational privacy risk management processes are integrated into system development life cycle activities.

+ + + + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process

+

system development life cycle documentation

+

organizational risk management strategy

+

information security and privacy risk management strategy documentation

+

system security plan

+

privacy plan

+

privacy program plan

+

enterprise architecture documentation

+

role-based security and privacy training program documentation

+

data mapping documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

organizational personnel with system life cycle development responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for defining and documenting the system development life cycle

+

organizational processes for identifying system development life cycle roles and responsibilities

+

organizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle

+

mechanisms supporting and/or implementing the system development life cycle

+ + + + Manage Preproduction Environment + + + + + + + + + + + + + +

Protect system preproduction environments commensurate with risk throughout the system development life cycle for the system, system component, or system service.

+ + +

The preproduction environment includes development, test, and integration environments. The program protection planning processes established by the Department of Defense are examples of managing the preproduction environment for defense contractors. Criticality analysis and the application of controls on developers also contribute to a more secure system development environment.

+ + + +

system pre-production environments are protected commensurate with risk throughout the system development life cycle for the system, system component, or system service.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the integration of security and supply chain risk management into the system development life cycle process

+

system development life cycle documentation

+

procedures addressing program protection planning

+

criticality analysis results

+

security and supply chain risk management strategy/program documentation

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and system life cycle development responsibilities

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for defining and documenting the system development life cycle

+

organizational processes for identifying system development life cycle roles and responsibilities

+

organizational process for integrating security risk management into the system development life cycle

+

mechanisms supporting and/or implementing the system development life cycle

+ + + + + Use of Live or Operational Data + + + + + + + + + + + + +

Approve, document, and control the use of live data in preproduction environments for the system, system component, or system service; and

+ + + +

Protect preproduction environments for the system, system component, or system service at the same impact or classification level as any live data in use within the preproduction environments.

+ + + +

Live data is also referred to as operational data. The use of live or operational data in preproduction (i.e., development, test, and integration) environments can result in significant risks to organizations. In addition, the use of personally identifiable information in testing, research, and training increases the risk of unauthorized disclosure or misuse of such information. Therefore, it is important for the organization to manage any additional risks that may result from the use of live or operational data. Organizations can minimize such risks by using test or dummy data during the design, development, and testing of systems, system components, and system services. Risk assessment techniques may be used to determine if the risk of using live or operational data is acceptable.

+ + + + + + + +

the use of live data in pre-production environments is approved for the system, system component, or system service;

+ + + + +

the use of live data in pre-production environments is documented for the system, system component, or system service;

+ + + + +

the use of live data in pre-production environments is controlled for the system, system component, or system service;

+ + + + + + +

pre-production environments for the system, system component, or system service are protected at the same impact or classification level as any live data in use within the pre-production environments.

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the integration of security and privacy into the system development life cycle process

+

system development life cycle documentation

+

security risk assessment documentation

+

privacy impact assessment

+

privacy risk assessment documentation

+

system security plan

+

privacy plan

+

data mapping documentation

+

personally identifiable information processing policy

+

procedures addressing the authority to test with personally identifiable information

+

procedures addressing the minimization of personally identifiable information used in testing, training, and research

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibility

+

organizational personnel with system life cycle development responsibilities

+ + + + + + +

Organizational processes the use of live data in pre-production environments

+

mechanisms for protecting live data in pre-production environments

+ + + + + Technology Refresh + + + + + + + + + +

Plan for and implement a technology refresh schedule for the system throughout the system development life cycle.

+ + +

Technology refresh planning may encompass hardware, software, firmware, processes, personnel skill sets, suppliers, service providers, and facilities. The use of obsolete or nearing obsolete technology may increase the security and privacy risks associated with unsupported components, counterfeit or repurposed components, components unable to implement security or privacy requirements, slow or inoperable components, components from untrusted sources, inadvertent personnel error, or increased complexity. Technology refreshes typically occur during the operations and maintenance stage of the system development life cycle.

+ + + + + +

a technology refresh schedule is planned for the system throughout the system development life cycle;

+ + + + +

a technology refresh schedule is implemented for the system throughout the system development life cycle.

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing technology refresh planning and implementation

+

system development life cycle documentation

+

technology refresh schedule

+

security risk assessment documentation

+

privacy impact assessment

+

privacy risk assessment documentation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

organizational personnel with system life cycle development responsibilities

+ + + + + + +

Organizational processes for defining and documenting the system development life cycle

+

organizational processes for identifying system development life cycle roles and responsibilities

+

organizational processes for integrating security and privacy risk management into the system development life cycle

+

mechanisms supporting and/or implementing the system development life cycle

+ + + + + + Acquisition Process + + + + + + + + + + +

contract language is defined (if selected);

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Include the following requirements, descriptions, and criteria, explicitly or by reference, using in the acquisition contract for the system, system component, or system service:

+ + +

Security and privacy functional requirements;

+ + + +

Strength of mechanism requirements;

+ + + +

Security and privacy assurance requirements;

+ + + +

Controls needed to satisfy the security and privacy requirements.

+ + + +

Security and privacy documentation requirements;

+ + + +

Requirements for protecting security and privacy documentation;

+ + + +

Description of the system development environment and environment in which the system is intended to operate;

+ + + +

Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and

+ + + +

Acceptance criteria.

+ + + +

Security and privacy functional requirements are typically derived from the high-level security and privacy requirements described in SA-2 . The derived requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Assurance requirements include development processes, procedures, and methodologies as well as the evidence from development and assessment activities that provide grounds for confidence that the required functionality is implemented and possesses the required strength of mechanism. SP 800-160-1 describes the process of requirements engineering as part of the system development life cycle.

+

Controls can be viewed as descriptions of the safeguards and protection capabilities appropriate for achieving the particular security and privacy objectives of the organization and for reflecting the security and privacy requirements of stakeholders. Controls are selected and implemented in order to satisfy system requirements and include developer and organizational responsibilities. Controls can include technical, administrative, and physical aspects. In some cases, the selection and implementation of a control may necessitate additional specification by the organization in the form of derived requirements or instantiated control parameter values. The derived requirements and control parameter values may be necessary to provide the appropriate level of implementation detail for controls within the system development life cycle.

+

Security and privacy documentation requirements address all stages of the system development life cycle. Documentation provides user and administrator guidance for the implementation and operation of controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the capabilities, functions, or mechanisms to meet risk response expectations. Requirements can include mandated configuration settings that specify allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as the criteria for any organizational acquisition or procurement.

+ + + + + + + +

security functional requirements, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + +

privacy functional requirements, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + + + +

strength of mechanism requirements, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + + + +

security assurance requirements, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + +

privacy assurance requirements, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + + + + + +

controls needed to satisfy the security requirements, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + +

controls needed to satisfy the privacy requirements, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + + + + + +

security documentation requirements, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + +

privacy documentation requirements, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + + + + + +

requirements for protecting security documentation, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + +

requirements for protecting privacy documentation, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + + + +

the description of the system development environment and environment in which the system is intended to operate, requirements, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + + + +

the allocation of responsibility or identification of parties responsible for information security requirements, descriptions, and criteria are included explicitly or by reference using in the acquisition contract for the system, system component, or system service;

+ + + + +

the allocation of responsibility or identification of parties responsible for privacy requirements, descriptions, and criteria are included explicitly or by reference using ;

+ + + + +

the allocation of responsibility or identification of parties responsible for supply chain risk management requirements, descriptions, and criteria are included explicitly or by reference using ;

+ + + + + + +

acceptance criteria requirements and descriptions are included explicitly or by reference using in the acquisition contract for the system, system component, or system service.

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process

+

configuration management plan

+

acquisition contracts for the system, system component, or system service

+

system design documentation

+

system security plan

+

supply chain risk management plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for determining system security and privacy functional, strength, and assurance requirements

+

organizational processes for developing acquisition contracts

+

mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts

+ + + + Functional Properties of Controls + + + + + + + + +

Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented.

+ + +

Functional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.

+ + + +

the developer of the system, system component, or system service is required to provide a description of the functional properties of the controls to be implemented.

+ + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the integration of security and privacy requirements, descriptions, and criteria into the acquisition process

+

solicitation documents

+

acquisition documentation

+

acquisition contracts for the system, system component, or system services

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developers

+ + + + + + +

Organizational processes for determining system security functional requirements

+

organizational processes for developing acquisition contracts

+

mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts

+ + + + + Design and Implementation Information for Controls + + + + + + + + + + +

design and implementation information is defined (if selected);

+ + + + + + + +

level of detail is defined;

+ + + + + + + + + + +

Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: at .

+ + +

Organizations may require different levels of detail in the documentation for the design and implementation of controls in organizational systems, system components, or system services based on mission and business requirements, requirements for resiliency and trustworthiness, and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation can include manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system.

+ + + +

the developer of the system, system component, or system service is required to provide design and implementation information for the controls that includes using at .

+ + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process

+

solicitation documents

+

acquisition documentation

+

acquisition contracts for the system, system components, or system services

+

design and implementation information for controls employed in the system, system component, or system service

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with the responsibility to determine system security requirements

+

system developers or service provider

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for determining the level of detail for system design and controls

+

organizational processes for developing acquisition contracts

+

mechanisms supporting and/or implementing the development of system design details

+ + + + + Development Methods, Techniques, and Practices + + + + + +

systems engineering methods are defined;

+ + + + + + + + + + + + +

system security engineering methods are defined (if selected);

+ + + + + + +

privacy engineering methods are defined (if selected);

+ + + + + + + + + + + + +

software development methods are defined (if selected);

+ + + + + + +

testing, evaluation, assessment, verification, and validation methods are defined (if selected);

+ + + + + + +

quality control processes are defined (if selected);

+ + + + + + + + + + +

Require the developer of the system, system component, or system service to demonstrate the use of a system development life cycle process that includes:

+ + +

;

+ + + +

; and

+ + + +

.

+ + + +

Following a system development life cycle that includes state-of-the-practice software development methods, systems engineering methods, systems security and privacy engineering methods, and quality control processes helps to reduce the number and severity of latent errors within systems, system components, and system services. Reducing the number and severity of such errors reduces the number of vulnerabilities in those systems, components, and services. Transparency in the methods and techniques that developers select and implement for systems engineering, systems security and privacy engineering, software development, component and system assessments, and quality control processes provides an increased level of assurance in the trustworthiness of the system, system component, or system service being acquired.

+ + + + + +

the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes ;

+ + + + +

the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes ;

+ + + + +

the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes .

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the integration of security and privacy requirements, descriptions, and criteria into the acquisition process

+

solicitation documents

+

acquisition documentation

+

acquisition contracts for the system, system component, or system service

+

list of systems security and privacy engineering methods to be included in the developer’s system development life cycle process

+

list of software development methods to be included in the developer’s system development life cycle process

+

list of testing, evaluation, or validation techniques to be included in the developer’s system development life cycle process

+

list of quality control processes to be included in the developer’s system development life cycle process

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with system life cycle responsibilities

+

system developers or service provider

+ + + + + + +

Organizational processes for development methods, techniques, and processes

+ + + + + Assignment of Components to Systems + + + + + + + + + System, Component, and Service Configurations + + + + + +

security configurations for the system, component, or service are defined;

+ + + + + + + + + + +

Require the developer of the system, system component, or system service to:

+ + +

Deliver the system, component, or service with implemented; and

+ + + +

Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.

+ + + +

Examples of security configurations include the U.S. Government Configuration Baseline (USGCB), Security Technical Implementation Guides (STIGs), and any limitations on functions, ports, protocols, and services. Security characteristics can include requiring that default passwords have been changed.

+ + + + + +

the developer of the system, system component, or system service is required to deliver the system, component, or service with implemented;

+ + + + +

the configurations are used as the default for any subsequent system, component, or service reinstallation or upgrade.

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process

+

solicitation documents

+

acquisition documentation

+

acquisition contracts for the system, system component, or system service

+

security configurations to be implemented by the developer of the system, system component, or system service

+

service level agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with the responsibility to determine system security requirements

+

system developers or service provider

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms used to verify that the configuration of the system, component, or service is delivered as specified

+ + + + + Use of Information Assurance Products + + + + + + + + + + + + + +

Employ only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and

+ + + +

Ensure that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.

+ + + +

Commercial off-the-shelf IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management. See NSA CSFC.

+ + + + + +

only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted are employed;

+ + + + +

these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.

+ + + + + + + + +

Supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process

+

solicitation documents

+

acquisition documentation

+

acquisition contracts for the system, system component, or system service

+

security configurations to be implemented by the developer of the system, system component, or system service

+

service level agreements

+

list of deployed IT products/solutions

+

NSA-approved list

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with the responsibility to determine system security requirements

+

organizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information

+ + + + + NIAP-approved Protection Profiles + + + + + + + + + + + + + +

Limit the use of commercially provided information assurance and information assurance-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and

+ + + +

Require, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated or NSA-approved.

+ + + +

See NIAP CCEVS for additional information on NIAP. See NIST CMVP for additional information on FIPS-validated cryptographic modules.

+ + + + + +

the use of commercially provided information assurance and information assurance-enabled information technology products is limited to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists;

+ + + + +

if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that cryptographic module is required to be FIPS-validated or NSA-approved.

+ + + + + + + + +

Supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process

+

solicitation documents

+

acquisition documentation

+

acquisition contracts for the system, system component, or system service

+

list of deployed IT products/solutions

+

NAIP-approved protection profiles

+

FIPS-validation information for cryptographic functionality

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with the responsibility for determining system security requirements

+

organizational personnel responsible for ensuring that information assurance products have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products

+ + + + + Continuous Monitoring Plan for Controls + + + + + + + + + +

Require the developer of the system, system component, or system service to produce a plan for continuous monitoring of control effectiveness that is consistent with the continuous monitoring program of the organization.

+ + +

The objective of continuous monitoring plans is to determine if the planned, required, and deployed controls within the system, system component, or system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into continuous monitoring programs implemented by organizations. Continuous monitoring plans can include the types of control assessment and monitoring activities planned, frequency of control monitoring, and actions to be taken when controls fail or become ineffective.

+ + + +

the developer of the system, system component, or system service is required to produce a plan for the continuous monitoring of control effectiveness that is consistent with the continuous monitoring program of the organization.

+ + + + + + +

System and services acquisition policy

+

procedures addressing developer continuous monitoring plans

+

procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process

+

developer continuous monitoring plans

+

security assessment plans

+

acquisition contracts for the system, system component, or system service

+

acquisition documentation

+

solicitation documentation

+

service level agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with the responsibility for determining system security requirements

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Vendor processes for continuous monitoring

+

mechanisms supporting and/or implementing developer continuous monitoring

+ + + + + Functions, Ports, Protocols, and Services in Use + + + + + + + + + + +

Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use.

+ + +

The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design stages) allows organizations to influence the design of the system, system component, or system service. This early involvement in the system development life cycle helps organizations avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. SA-9 describes the requirements for external system services. Organizations identify which functions, ports, protocols, and services are provided from external sources.

+ + + + + +

the developer of the system, system component, or system service is required to identify the functions intended for organizational use;

+ + + + +

the developer of the system, system component, or system service is required to identify the ports intended for organizational use;

+ + + + +

the developer of the system, system component, or system service is required to identify the protocols intended for organizational use;

+ + + + +

the developer of the system, system component, or system service is required to identify the services intended for organizational use.

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process

+

system design documentation

+

system documentation, including functions, ports, protocols, and services intended for organizational use

+

acquisition contracts for systems or services

+

acquisition documentation

+

solicitation documentation

+

service level agreements

+

organizational security requirements, descriptions, and criteria for developers of systems, system components, and system services

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with the responsibility for determining system security requirements

+

system/network administrators

+

organizational personnel operating, using, and/or maintaining the system

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + Use of Approved PIV Products + + + + + + + + + + + +

Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems.

+ + +

Products on the FIPS 201-approved products list meet NIST requirements for Personal Identity Verification (PIV) of Federal Employees and Contractors. PIV cards are used for multi-factor authentication in systems and organizations.

+ + + +

only information technology products on the FIPS 201-approved products list for the Personal Identity Verification (PIV) capability implemented within organizational systems are employed.

+ + + + + + +

Supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process

+

solicitation documentation

+

acquisition documentation

+

acquisition contracts for the system, system component, or system service

+

service level agreements

+

FIPS 201 approved products list

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with the responsibility for determining system security requirements

+

organizational personnel with the responsibility for ensuring that only FIPS 201- approved products are implemented

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for selecting and employing FIPS 201-approved products

+ + + + + System of Records + + + + + +

Privacy Act requirements for the operation of a system of records are defined;

+ + + + + + + + + + + +

Include in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function.

+ + +

When, by contract, an organization provides for the operation of a system of records to accomplish an organizational mission or function, the organization, consistent with its authority, causes the requirements of the PRIVACT to be applied to the system of records.

+ + + +

are defined in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function.

+ + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the integration of Privacy Act requirements into systems of records operated by external organizations

+

solicitation documentation

+

acquisition documentation

+

acquisition contracts for the system, system component, or system service

+

service level agreements

+

system security plan

+

privacy plan

+

personally identifiable information processing policy

+

privacy program plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Contract management processes to verify Privacy Act requirements are defined for the operation of a system of records

+

vendor processes for demonstrating incorporation of Privacy Act requirements in its operation of a system of records

+ + + + + Data Ownership + + + + + +

time frame to remove data from a contractor system and return it to the organization is defined;

+ + + + + + + + + + + + +

Include organizational data ownership requirements in the acquisition contract; and

+ + + +

Require all data to be removed from the contractor’s system and returned to the organization within .

+ + + +

Contractors who operate a system that contains data owned by an organization initiating the contract have policies and procedures in place to remove the data from their systems and/or return the data in a time frame defined by the contract.

+ + + + + +

organizational data ownership requirements are included in the acquisition contract;

+ + + + +

all data to be removed from the contractor’s system and returned to the organization is required within .

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the integration of information security and privacy requirements, descriptions, and criteria into the acquisition process

+

procedures addressing the disposition of personally identifiable information

+

solicitation documentation

+

acquisition documentation

+

acquisition contracts for the system or system service

+

personally identifiable information processing policy

+

service level agreements

+

information sharing agreements

+

memoranda of understanding

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with the responsibility for data management and processing requirements

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Contract management processes to verify that data is removed as required

+

vendor processes for removing data in required timeframe

+

mechanisms verifying the removal and return of data

+ + + + + + System Documentation + + + + + +

actions to take when system, system component, or system service documentation is either unavailable or nonexistent are defined;

+ + + + + + + +

personnel or roles to distribute system documentation to is/are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Obtain or develop administrator documentation for the system, system component, or system service that describes:

+ + +

Secure configuration, installation, and operation of the system, component, or service;

+ + + +

Effective use and maintenance of security and privacy functions and mechanisms; and

+ + + +

Known vulnerabilities regarding configuration and use of administrative or privileged functions;

+ + + + +

Obtain or develop user documentation for the system, system component, or system service that describes:

+ + +

User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;

+ + + +

Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and

+ + + +

User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;

+ + + + +

Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and take in response; and

+ + + +

Distribute documentation to .

+ + + +

System documentation helps personnel understand the implementation and operation of controls. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used to support the management of supply chain risk, incident response, and other functions. Personnel or roles that require documentation include system owners, system security officers, and system administrators. Attempts to obtain documentation include contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain documentation may occur due to the age of the system or component or the lack of support from developers and contractors. When documentation cannot be obtained, organizations may need to recreate the documentation if it is essential to the implementation or operation of the controls. The protection provided for the documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system includes initially starting the system and resuming secure system operation after a lapse in system operation.

+ + + + + + + + + +

administrator documentation for the system, system component, or system service that describes the secure configuration of the system, component, or service is obtained or developed;

+ + + + +

administrator documentation for the system, system component, or system service that describes the secure installation of the system, component, or service is obtained or developed;

+ + + + +

administrator documentation for the system, system component, or system service that describes the secure operation of the system, component, or service is obtained or developed;

+ + + + + + + + +

administrator documentation for the system, system component, or system service that describes the effective use of security functions and mechanisms is obtained or developed;

+ + + + +

administrator documentation for the system, system component, or system service that describes the effective maintenance of security functions and mechanisms is obtained or developed;

+ + + + +

administrator documentation for the system, system component, or system service that describes the effective use of privacy functions and mechanisms is obtained or developed;

+ + + + +

administrator documentation for the system, system component, or system service that describes the effective maintenance of privacy functions and mechanisms is obtained or developed;

+ + + + + + + + +

administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the configuration of administrative or privileged functions is obtained or developed;

+ + + + +

administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the use of administrative or privileged functions is obtained or developed;

+ + + + + + + + + + + + +

user documentation for the system, system component, or system service that describes user-accessible security functions and mechanisms is obtained or developed;

+ + + + +

user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible security) functions and mechanisms is obtained or developed;

+ + + + +

user documentation for the system, system component, or system service that describes user-accessible privacy functions and mechanisms is obtained or developed;

+ + + + +

user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible privacy) functions and mechanisms is obtained or developed;

+ + + + + + + + +

user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service in a more secure manner is obtained or developed;

+ + + + +

user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service to protect individual privacy is obtained or developed;

+ + + + + + + + +

user documentation for the system, system component, or system service that describes user responsibilities for maintaining the security of the system, component, or service is obtained or developed;

+ + + + +

user documentation for the system, system component, or system service that describes user responsibilities for maintaining the privacy of individuals is obtained or developed;

+ + + + + + + + + + +

attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent is documented;

+ + + + +

after attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent, are taken in response;

+ + + + + + +

documentation is distributed to .

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing system documentation

+

system documentation, including administrator and user guides

+

system design documentation

+

records documenting attempts to obtain unavailable or nonexistent system documentation

+

list of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation

+

risk management strategy documentation

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system administrators

+

organizational personnel responsible for operating, using, and/or maintaining the system

+

system developers

+ + + + + + +

Organizational processes for obtaining, protecting, and distributing system administrator and user documentation

+ + + + Functional Properties of Security Controls + + + + + + + + + Security-relevant External System Interfaces + + + + + + + + + High-level Design + + + + + + + + + Low-level Design + + + + + + + + + Source Code + + + + + + + + + + Software Usage Restrictions + + + + + + + + + + User-installed Software + + + + + + + + + + Security and Privacy Engineering Principles + + + + + + + + + +

systems security engineering principles are defined;

+ + + + + + +

privacy engineering principles are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: .

+ + +

Systems security and privacy engineering principles are closely related to and implemented throughout the system development life cycle (see SA-3 ). Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For existing systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems.

+

The application of systems security and privacy engineering principles helps organizations develop trustworthy, secure, and resilient systems and reduces the susceptibility to disruptions, hazards, threats, and the creation of privacy problems for individuals. Examples of system security engineering principles include: developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring controls to meet organizational needs; and performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk.

+

Organizations that apply systems security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk management decisions. System security engineering principles can also be used to protect against certain supply chain risks, including incorporating tamper-resistant hardware into a design.

+ + + + + +

are applied in the specification of the system and system components;

+ + + + +

are applied in the design of the system and system components;

+ + + + +

are applied in the development of the system and system components;

+ + + + +

are applied in the implementation of the system and system components;

+ + + + +

are applied in the modification of the system and system components;

+ + + + +

are applied in the specification of the system and system components;

+ + + + +

are applied in the design of the system and system components;

+ + + + +

are applied in the development of the system and system components;

+ + + + +

are applied in the implementation of the system and system components;

+ + + + +

are applied in the modification of the system and system components.

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

assessment and authorization procedures

+

procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+ + + + + + +

Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification

+ + + + Clear Abstractions + + + + + + + + + +

Implement the security design principle of clear abstractions.

+ + +

The principle of clear abstractions states that a system has simple, well-defined interfaces and functions that provide a consistent and intuitive view of the data and how the data is managed. The clarity, simplicity, necessity, and sufficiency of the system interfaces— combined with a precise definition of their functional behavior—promotes ease of analysis, inspection, and testing as well as the correct and secure use of the system. The clarity of an abstraction is subjective. Examples that reflect the application of this principle include avoidance of redundant, unused interfaces; information hiding; and avoidance of semantic overloading of interfaces or their parameters. Information hiding (i.e., representation-independent programming), is a design discipline used to ensure that the internal representation of information in one system component is not visible to another system component invoking or calling the first component, such that the published abstraction is not influenced by how the data may be managed internally.

+ + + +

the security design principle of clear abstractions is implemented.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of clear abstractions used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of clear abstractions to system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of clear abstractions to system specification, design, development, implementation, and modification

+ + + + + Least Common Mechanism + + + + + +

systems or system components that implement the security design principle of least common mechanism are defined;

+ + + + + + + + + + + +

Implement the security design principle of least common mechanism in .

+ + +

The principle of least common mechanism states that the amount of mechanism common to more than one user and depended on by all users is minimized POPEK74 . Mechanism minimization implies that different components of a system refrain from using the same mechanism to access a system resource. Every shared mechanism (especially a mechanism involving shared variables) represents a potential information path between users and is designed with care to ensure that it does not unintentionally compromise security SALTZER75 . Implementing the principle of least common mechanism helps to reduce the adverse consequences of sharing the system state among different programs. A single program that corrupts a shared state (including shared variables) has the potential to corrupt other programs that are dependent on the state. The principle of least common mechanism also supports the principle of simplicity of design and addresses the issue of covert storage channels LAMPSON73.

+ + + +

implement the security design principle of least common mechanism.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of least common mechanism used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of least common mechanism in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of least common mechanism in system specification, design, development, implementation, and modification

+ + + + + Modularity and Layering + + + + + + + + + +

systems or system components that implement the security design principle of modularity are defined;

+ + + + + + +

systems or system components that implement the security design principle of layering are defined;

+ + + + + + + + + + + + + +

Implement the security design principles of modularity and layering in .

+ + +

The principles of modularity and layering are fundamental across system engineering disciplines. Modularity and layering derived from functional decomposition are effective in managing system complexity by making it possible to comprehend the structure of the system. Modular decomposition, or refinement in system design, is challenging and resists general statements of principle. Modularity serves to isolate functions and related data structures into well-defined logical units. Layering allows the relationships of these units to be better understood so that dependencies are clear and undesired complexity can be avoided. The security design principle of modularity extends functional modularity to include considerations based on trust, trustworthiness, privilege, and security policy. Security-informed modular decomposition includes the allocation of policies to systems in a network, separation of system applications into processes with distinct address spaces, allocation of system policies to layers, and separation of processes into subjects with distinct privileges based on hardware-supported privilege domains.

+ + + + + +

implement the security design principle of modularity;

+ + + + +

implement the security design principle of layering.

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing the security design principles of modularity and layering used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principles of modularity and layering in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principles of modularity and layering in system specification, design, development, implementation, and modification

+

mechanisms supporting and/or implementing an isolation boundary

+ + + + + Partially Ordered Dependencies + + + + + +

systems or system components that implement the security design principle of partially ordered dependencies are defined;

+ + + + + + + + + + + +

Implement the security design principle of partially ordered dependencies in .

+ + +

The principle of partially ordered dependencies states that the synchronization, calling, and other dependencies in the system are partially ordered. A fundamental concept in system design is layering, whereby the system is organized into well-defined, functionally related modules or components. The layers are linearly ordered with respect to inter-layer dependencies, such that higher layers are dependent on lower layers. While providing functionality to higher layers, some layers can be self-contained and not dependent on lower layers. While a partial ordering of all functions in a given system may not be possible, if circular dependencies are constrained to occur within layers, the inherent problems of circularity can be more easily managed. Partially ordered dependencies and system layering contribute significantly to the simplicity and coherency of the system design. Partially ordered dependencies also facilitate system testing and analysis.

+ + + +

implement the security design principle of partially ordered dependencies.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of partially ordered dependencies used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of partially ordered dependencies in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of partially ordered dependencies in system specification, design, development, implementation, and modification

+ + + + + Efficiently Mediated Access + + + + + +

systems or system components that implement the security design principle of efficiently mediated access are defined;

+ + + + + + + + + + + + +

Implement the security design principle of efficiently mediated access in .

+ + +

The principle of efficiently mediated access states that policy enforcement mechanisms utilize the least common mechanism available while satisfying stakeholder requirements within expressed constraints. The mediation of access to system resources (i.e., CPU, memory, devices, communication ports, services, infrastructure, data, and information) is often the predominant security function of secure systems. It also enables the realization of protections for the capability provided to stakeholders by the system. Mediation of resource access can result in performance bottlenecks if the system is not designed correctly. For example, by using hardware mechanisms, efficiently mediated access can be achieved. Once access to a low-level resource such as memory has been obtained, hardware protection mechanisms can ensure that out-of-bounds access does not occur.

+ + + +

implement the security design principle of efficiently mediated access.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of efficiently mediated access used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition/contracting responsibilities

+

organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of efficiently mediated access in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of efficiently mediated access in system specification, design, development, implementation, and modification

+ + + + + Minimized Sharing + + + + + +

systems or system components that implement the security design principle of minimized sharing are defined;

+ + + + + + + + + + + + +

Implement the security design principle of minimized sharing in .

+ + +

The principle of minimized sharing states that no computer resource is shared between system components (e.g., subjects, processes, functions) unless it is absolutely necessary to do so. Minimized sharing helps to simplify system design and implementation. In order to protect user-domain resources from arbitrary active entities, no resource is shared unless that sharing has been explicitly requested and granted. The need for resource sharing can be motivated by the design principle of least common mechanism in the case of internal entities or driven by stakeholder requirements. However, internal sharing is carefully designed to avoid performance and covert storage and timing channel problems. Sharing via common mechanism can increase the susceptibility of data and information to unauthorized access, disclosure, use, or modification and can adversely affect the inherent capability provided by the system. To minimize sharing induced by common mechanisms, such mechanisms can be designed to be reentrant or virtualized to preserve separation. Moreover, the use of global data to share information is carefully scrutinized. The lack of encapsulation may obfuscate relationships among the sharing entities.

+ + + +

implement the security design principle of minimized sharing.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of minimized sharing used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of minimized sharing in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of minimized sharing in system specification, design, development, implementation, and modification

+ + + + + Reduced Complexity + + + + + +

systems or system components that implement the security design principle of reduced complexity are defined;

+ + + + + + + + + + + +

Implement the security design principle of reduced complexity in .

+ + +

The principle of reduced complexity states that the system design is as simple and small as possible. A small and simple design is more understandable, more analyzable, and less prone to error. The reduced complexity principle applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions. It also facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain; that is, simpler systems contain fewer vulnerabilities. An benefit of reduced complexity is that it is easier to understand whether the intended security policy has been captured in the system design and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and the existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex. Transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6) may require implementing the older and newer technologies simultaneously during the transition period. This may result in a temporary increase in system complexity during the transition.

+ + + +

implement the security design principle of reduced complexity.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of reduced complexity used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of reduced complexity in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of reduced complexity in system specification, design, development, implementation, and modification

+ + + + + Secure Evolvability + + + + + +

systems or system components that implement the security design principle of secure evolvability are defined;

+ + + + + + + + + + + + +

Implement the security design principle of secure evolvability in .

+ + +

The principle of secure evolvability states that a system is developed to facilitate the maintenance of its security properties when there are changes to the system’s structure, interfaces, interconnections (i.e., system architecture), functionality, or configuration (i.e., security policy enforcement). Changes include a new, enhanced, or upgraded system capability; maintenance and sustainment activities; and reconfiguration. Although it is not possible to plan for every aspect of system evolution, system upgrades and changes can be anticipated by analyses of mission or business strategic direction, anticipated changes in the threat environment, and anticipated maintenance and sustainment needs. It is unrealistic to expect that complex systems remain secure in contexts not envisioned during development, whether such contexts are related to the operational environment or to usage. A system may be secure in some new contexts, but there is no guarantee that its emergent behavior will always be secure. It is easier to build trustworthiness into a system from the outset, and it follows that the sustainment of system trustworthiness requires planning for change as opposed to adapting in an ad hoc or non-methodical manner. The benefits of this principle include reduced vendor life cycle costs, reduced cost of ownership, improved system security, more effective management of security risk, and less risk uncertainty.

+ + + +

implement the security design principle of secure evolvability.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of secure evolvability used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of secure evolvability in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of secure evolvability in system specification, design, development, implementation, and modification

+ + + + + Trusted Components + + + + + +

systems or system components that implement the security design principle of trusted components are defined;

+ + + + + + + + + + + +

Implement the security design principle of trusted components in .

+ + +

The principle of trusted components states that a component is trustworthy to at least a level commensurate with the security dependencies it supports (i.e., how much it is trusted to perform its security functions by other components). This principle enables the composition of components such that trustworthiness is not inadvertently diminished and the trust is not consequently misplaced. Ultimately, this principle demands some metric by which the trust in a component and the trustworthiness of a component can be measured on the same abstract scale. The principle of trusted components is particularly relevant when considering systems and components in which there are complex chains of trust dependencies. A trust dependency is also referred to as a trust relationship and there may be chains of trust relationships.

+

The principle of trusted components also applies to a compound component that consists of subcomponents (e.g., a subsystem), which may have varying levels of trustworthiness. The conservative assumption is that the trustworthiness of a compound component is that of its least trustworthy subcomponent. It may be possible to provide a security engineering rationale that the trustworthiness of a particular compound component is greater than the conservative assumption. However, any such rationale reflects logical reasoning based on a clear statement of the trustworthiness objectives as well as relevant and credible evidence. The trustworthiness of a compound component is not the same as increased application of defense-in-depth layering within the component or a replication of components. Defense-in-depth techniques do not increase the trustworthiness of the whole above that of the least trustworthy component.

+ + + +

implement the security design principle of trusted components.

+ + + + + + +

Supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing the security design principle of trusted components used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security, supply chain risk management, and privacy requirements and specifications for the system

+

system security and privacy architecture

+

procedures for determining component assurance

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of trusted components in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of trusted components in system specification, design, development, implementation, and modification

+ + + + + Hierarchical Trust + + + + + +

systems or system components that implement the security design principle of hierarchical trust are defined;

+ + + + + + + + + + + +

Implement the security design principle of hierarchical trust in .

+ + +

The principle of hierarchical trust for components builds on the principle of trusted components and states that the security dependencies in a system will form a partial ordering if they preserve the principle of trusted components. The partial ordering provides the basis for trustworthiness reasoning or an assurance case (assurance argument) when composing a secure system from heterogeneously trustworthy components. To analyze a system composed of heterogeneously trustworthy components for its trustworthiness, it is essential to eliminate circular dependencies with regard to the trustworthiness. If a more trustworthy component located in a lower layer of the system were to depend on a less trustworthy component in a higher layer, this would, in effect, put the components in the same less trustworthy equivalence class per the principle of trusted components. Trust relationships, or chains of trust, can have various manifestations. For example, the root certificate of a certificate hierarchy is the most trusted node in the hierarchy, whereas the leaves in the hierarchy may be the least trustworthy nodes. Another example occurs in a layered high-assurance system where the security kernel (including the hardware base), which is located at the lowest layer of the system, is the most trustworthy component. The principle of hierarchical trust, however, does not prohibit the use of overly trustworthy components. There may be cases in a system of low trustworthiness where it is reasonable to employ a highly trustworthy component rather than one that is less trustworthy (e.g., due to availability or other cost-benefit driver). For such a case, any dependency of the highly trustworthy component upon a less trustworthy component does not degrade the trustworthiness of the resulting low-trust system.

+ + + +

implement the security design principle of hierarchical trust.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of hierarchical trust used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of hierarchical trust in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of hierarchical trust in system specification, design, development, implementation, and modification

+ + + + + Inverse Modification Threshold + + + + + +

systems or system components that implement the security design principle of inverse modification threshold are defined;

+ + + + + + + + + + + +

Implement the security design principle of inverse modification threshold in .

+ + +

The principle of inverse modification threshold builds on the principle of trusted components and the principle of hierarchical trust and states that the degree of protection provided to a component is commensurate with its trustworthiness. As the trust placed in a component increases, the protection against unauthorized modification of the component also increases to the same degree. Protection from unauthorized modification can come in the form of the component’s own self-protection and innate trustworthiness, or it can come from the protections afforded to the component from other elements or attributes of the security architecture (to include protections in the environment of operation).

+ + + +

implement the security design principle of inverse modification threshold.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of inverse modification threshold used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of inverse modification threshold in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of inverse modification threshold in system specification, design, development, implementation, and modification

+ + + + + Hierarchical Protection + + + + + +

systems or system components that implement the security design principle of hierarchical protection are defined;

+ + + + + + + + + + + +

Implement the security design principle of hierarchical protection in .

+ + +

The principle of hierarchical protection states that a component need not be protected from more trustworthy components. In the degenerate case of the most trusted component, it protects itself from all other components. For example, if an operating system kernel is deemed the most trustworthy component in a system, then it protects itself from all untrusted applications it supports, but the applications, conversely, do not need to protect themselves from the kernel. The trustworthiness of users is a consideration for applying the principle of hierarchical protection. A trusted system need not protect itself from an equally trustworthy user, reflecting use of untrusted systems in system high environments where users are highly trustworthy and where other protections are put in place to bound and protect the system high execution environment.

+ + + +

implement the security design principle of hierarchical protection.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of hierarchical protection used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of hierarchical protection in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of hierarchical protection in system specification, design, development, implementation, and modification

+ + + + + Minimized Security Elements + + + + + +

systems or system components that implement the security design principle of minimized security elements are defined;

+ + + + + + + + + + + +

Implement the security design principle of minimized security elements in .

+ + +

The principle of minimized security elements states that the system does not have extraneous trusted components. The principle of minimized security elements has two aspects: the overall cost of security analysis and the complexity of security analysis. Trusted components are generally costlier to construct and implement, owing to the increased rigor of development processes. Trusted components require greater security analysis to qualify their trustworthiness. Thus, to reduce the cost and decrease the complexity of the security analysis, a system contains as few trustworthy components as possible. The analysis of the interaction of trusted components with other components of the system is one of the most important aspects of system security verification. If the interactions between components are unnecessarily complex, the security of the system will also be more difficult to ascertain than one whose internal trust relationships are simple and elegantly constructed. In general, fewer trusted components result in fewer internal trust relationships and a simpler system.

+ + + +

implement the security design principle of minimized security elements.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of minimized security elements used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of minimized security elements in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of minimized security elements in system specification, design, development, implementation, and modification

+ + + + + Least Privilege + + + + + +

systems or system components that implement the security design principle of least privilege are defined;

+ + + + + + + + + + + + + +

Implement the security design principle of least privilege in .

+ + +

The principle of least privilege states that each system component is allocated sufficient privileges to accomplish its specified functions but no more. Applying the principle of least privilege limits the scope of the component’s actions, which has two desirable effects: the security impact of a failure, corruption, or misuse of the component will have a minimized security impact, and the security analysis of the component will be simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who only has need to view the audit data that has been collected but no need to perform operations on that data.

+

In addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated on by the functions within the module. Elements external to a module that may be affected by the module’s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality and that the access modes for the elements (e.g., read, write) are minimal.

+ + + +

implement the security design principle of least privilege.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of least privilege used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of least privilege in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of least privilege in system specification, design, development, implementation, and modification

+ + + + + Predicate Permission + + + + + +

systems or system components that implement the security design principle of predicate permission are defined;

+ + + + + + + + + + + + +

Implement the security design principle of predicate permission in .

+ + +

The principle of predicate permission states that system designers consider requiring multiple authorized entities to provide consent before a highly critical operation or access to highly sensitive data, information, or resources is allowed to proceed. SALTZER75 originally named predicate permission the separation of privilege. It is also equivalent to separation of duty. The division of privilege among multiple parties decreases the likelihood of abuse and provides the safeguard that no single accident, deception, or breach of trust is sufficient to enable an unrecoverable action that can lead to significantly damaging effects. The design options for such a mechanism may require simultaneous action (e.g., the firing of a nuclear weapon requires two different authorized individuals to give the correct command within a small time window) or a sequence of operations where each successive action is enabled by some prior action, but no single individual is able to enable more than one action.

+ + + +

implement the security design principle of predicate permission.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of predicate permission used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of predicate permission in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of predicate permission in system specification, design, development, implementation, and modification

+ + + + + Self-reliant Trustworthiness + + + + + +

systems or system components that implement the security design principle of self-reliant trustworthiness are defined;

+ + + + + + + + + + + +

Implement the security design principle of self-reliant trustworthiness in .

+ + +

The principle of self-reliant trustworthiness states that systems minimize their reliance on other systems for their own trustworthiness. A system is trustworthy by default, and any connection to an external entity is used to supplement its function. If a system were required to maintain a connection with another external entity in order to maintain its trustworthiness, then that system would be vulnerable to malicious and non-malicious threats that could result in the loss or degradation of that connection. The benefit of the principle of self-reliant trustworthiness is that the isolation of a system will make it less vulnerable to attack. A corollary to this principle relates to the ability of the system (or system component) to operate in isolation and then resynchronize with other components when it is rejoined with them.

+ + + +

implement the security design principle of self-reliant trustworthiness.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of self-reliant trustworthiness used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of self-reliant trustworthiness in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of self-reliant trustworthiness in system specification, design, development, implementation, and modification

+ + + + + Secure Distributed Composition + + + + + +

systems or system components that implement the security design principle of secure distributed composition are defined;

+ + + + + + + + + + + +

Implement the security design principle of secure distributed composition in .

+ + +

The principle of secure distributed composition states that the composition of distributed components that enforce the same system security policy result in a system that enforces that policy at least as well as the individual components do. Many of the design principles for secure systems deal with how components can or should interact. The need to create or enable a capability from the composition of distributed components can magnify the relevancy of these principles. In particular, the translation of security policy from a stand-alone to a distributed system or a system-of-systems can have unexpected or emergent results. Communication protocols and distributed data consistency mechanisms help to ensure consistent policy enforcement across a distributed system. To ensure a system-wide level of assurance of correct policy enforcement, the security architecture of a distributed composite system is thoroughly analyzed.

+ + + +

implement the security design principle of secure distributed composition.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of secure distributed composition used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of secure distributed composition in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of secure distributed composition in system specification, design, development, implementation, and modification

+ + + + + Trusted Communications Channels + + + + + +

systems or system components that implement the security design principle of trusted communications channels are defined;

+ + + + + + + + + + + + + + +

Implement the security design principle of trusted communications channels in .

+ + +

The principle of trusted communication channels states that when composing a system where there is a potential threat to communications between components (i.e., the interconnections between components), each communication channel is trustworthy to a level commensurate with the security dependencies it supports (i.e., how much it is trusted by other components to perform its security functions). Trusted communication channels are achieved by a combination of restricting access to the communication channel (to ensure an acceptable match in the trustworthiness of the endpoints involved in the communication) and employing end-to-end protections for the data transmitted over the communication channel (to protect against interception and modification and to further increase the assurance of proper end-to-end communication).

+ + + +

implement the security design principle of trusted communications channels.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of trusted communications channels used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of trusted communications channels in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of trusted communications channels in system specification, design, development, implementation, and modification

+ + + + + Continuous Protection + + + + + +

systems or system components that implement the security design principle of continuous protection are defined;

+ + + + + + + + + + + + +

Implement the security design principle of continuous protection in .

+ + +

The principle of continuous protection states that components and data used to enforce the security policy have uninterrupted protection that is consistent with the security policy and the security architecture assumptions. No assurances that the system can provide the confidentiality, integrity, availability, and privacy protections for its design capability can be made if there are gaps in the protection. Any assurances about the ability to secure a delivered capability require that data and information are continuously protected. That is, there are no periods during which data and information are left unprotected while under control of the system (i.e., during the creation, storage, processing, or communication of the data and information, as well as during system initialization, execution, failure, interruption, and shutdown). Continuous protection requires adherence to the precepts of the reference monitor concept (i.e., every request is validated by the reference monitor; the reference monitor is able to protect itself from tampering; and sufficient assurance of the correctness and completeness of the mechanism can be ascertained from analysis and testing) and the principle of secure failure and recovery (i.e., preservation of a secure state during error, fault, failure, and successful attack; preservation of a secure state during recovery to normal, degraded, or alternative operational modes).

+

Continuous protection also applies to systems designed to operate in varying configurations, including those that deliver full operational capability and degraded-mode configurations that deliver partial operational capability. The continuous protection principle requires that changes to the system security policies be traceable to the operational need that drives the configuration and be verifiable (i.e., it is possible to verify that the proposed changes will not put the system into an insecure state). Insufficient traceability and verification may lead to inconsistent states or protection discontinuities due to the complex or undecidable nature of the problem. The use of pre-verified configuration definitions that reflect the new security policy enables analysis to determine that a transition from old to new policies is essentially atomic and that any residual effects from the old policy are guaranteed to not conflict with the new policy. The ability to demonstrate continuous protection is rooted in the clear articulation of life cycle protection needs as stakeholder security requirements.

+ + + +

implement the security design principle of continuous protection.

+ + + + + + +

System and services acquisition policy

+

access control policy

+

system and communications protection policy

+

procedures addressing boundary protection

+

procedures addressing the security design principle of continuous protection used in the specification, design, development, implementation, and modification of the system

+

system configuration settings and associated documentation

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

organizational personnel with access enforcement responsibilities

+

system/network administrators

+

system developers

+

organizational personnel with information security responsibilities

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of continuous protection in system specification, design, development, implementation, and modification

+

mechanisms implementing access enforcement functions

+

mechanisms supporting the application of the security design principle of continuous protection in system specification, design, development, implementation, and modification

+

mechanisms supporting and/or implementing secure failure

+ + + + + Secure Metadata Management + + + + + +

systems or system components that implement the security design principle of secure metadata management are defined;

+ + + + + + + + + + + +

Implement the security design principle of secure metadata management in .

+ + +

The principle of secure metadata management states that metadata are first class objects with respect to security policy when the policy requires either complete protection of information or that the security subsystem be self-protecting. The principle of secure metadata management is driven by the recognition that a system, subsystem, or component cannot achieve self-protection unless it protects the data it relies on for correct execution. Data is generally not interpreted by the system that stores it. It may have semantic value (i.e., it comprises information) to users and programs that process the data. In contrast, metadata is information about data, such as a file name or the date when the file was created. Metadata is bound to the target data that it describes in a way that the system can interpret, but it need not be stored inside of or proximate to its target data. There may be metadata whose target is itself metadata (e.g., the classification level or impact level of a file name), including self-referential metadata.

+

The apparent secondary nature of metadata can lead to neglect of its legitimate need for protection, resulting in a violation of the security policy that includes the exfiltration of information. A particular concern associated with insufficient protections for metadata is associated with multilevel secure (MLS) systems. MLS systems mediate access by a subject to an object based on relative sensitivity levels. It follows that all subjects and objects in the scope of control of the MLS system are either directly labeled or indirectly attributed with sensitivity levels. The corollary of labeled metadata for MLS systems states that objects containing metadata are labeled. As with protection needs assessments for data, attention is given to ensure that the confidentiality and integrity protections are individually assessed, specified, and allocated to metadata, as would be done for mission, business, and system data.

+ + + +

implement the security design principle of secure metadata management.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of metadata management used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of metadata management in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of metadata management in system specification, design, development, implementation, and modification

+ + + + + Self-analysis + + + + + +

systems or system components that implement the security design principle of self-analysis are defined;

+ + + + + + + + + + + + +

Implement the security design principle of self-analysis in .

+ + +

The principle of self-analysis states that a system component is able to assess its internal state and functionality to a limited extent at various stages of execution, and that this self-analysis capability is commensurate with the level of trustworthiness invested in the system. At the system level, self-analysis can be achieved through hierarchical assessments of trustworthiness established in a bottom-up fashion. In this approach, the lower-level components check for data integrity and correct functionality (to a limited extent) of higher-level components. For example, trusted boot sequences involve a trusted lower-level component that attests to the trustworthiness of the next higher-level components so that a transitive chain of trust can be established. At the root, a component attests to itself, which usually involves an axiomatic or environmentally enforced assumption about its integrity. Results of the self-analyses can be used to guard against externally induced errors, internal malfunction, or transient errors. By following this principle, some simple malfunctions or errors can be detected without allowing the effects of the error or malfunction to propagate outside of the component. Further, the self-test can be used to attest to the configuration of the component, detecting any potential conflicts in configuration with respect to the expected configuration.

+ + + +

implement the security design principle of self-analysis.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of self-analysis used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of self-analysis in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of self-analysis in system specification, design, development, implementation, and modification

+ + + + + Accountability and Traceability + + + + + + + + + +

systems or system components that implement the security design principle of accountability are defined;

+ + + + + + +

systems or system components that implement the security design principle of traceability are defined;

+ + + + + + + + + + + + + + + + + + + + +

Implement the security design principle of accountability and traceability in .

+ + +

The principle of accountability and traceability states that it is possible to trace security-relevant actions (i.e., subject-object interactions) to the entity on whose behalf the action is being taken. The principle of accountability and traceability requires a trustworthy infrastructure that can record details about actions that affect system security (e.g., an audit subsystem). To record the details about actions, the system is able to uniquely identify the entity on whose behalf the action is being carried out and also record the relevant sequence of actions that are carried out. The accountability policy also requires that audit trail itself be protected from unauthorized access and modification. The principle of least privilege assists in tracing the actions to particular entities, as it increases the granularity of accountability. Associating specific actions with system entities, and ultimately with users, and making the audit trail secure against unauthorized access and modifications provide non-repudiation because once an action is recorded, it is not possible to change the audit trail. Another important function that accountability and traceability serves is in the routine and forensic analysis of events associated with the violation of security policy. Analysis of audit logs may provide additional information that may be helpful in determining the path or component that allowed the violation of the security policy and the actions of individuals associated with the violation of the security policy.

+ + + + + +

implement the security design principle of accountability;

+ + + + +

implement the security design principle of traceability.

+ + + + + + + + +

System and services acquisition policy

+

audit and accountability policy

+

access control policy

+

procedures addressing least privilege

+

procedures addressing auditable events

+

identification and authentication policy

+

procedures addressing user identification and authentication

+

procedures addressing the security design principle of accountability and traceability used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

system audit records

+

system auditable events

+

system configuration settings and associated documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with audit and accountability responsibilities

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of accountability and traceability in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of accountability and traceability in system specification, design, development, implementation, and modification

+

mechanisms implementing information system auditing

+

mechanisms implementing least privilege functions

+ + + + + Secure Defaults + + + + + +

systems or system components that implement the security design principle of secure defaults are defined;

+ + + + + + + + + + + + + + +

Implement the security design principle of secure defaults in .

+ + +

The principle of secure defaults states that the default configuration of a system (including its constituent subsystems, components, and mechanisms) reflects a restrictive and conservative enforcement of security policy. The principle of secure defaults applies to the initial (i.e., default) configuration of a system as well as to the security engineering and design of access control and other security functions that follow a deny unless explicitly authorized strategy. The initial configuration aspect of this principle requires that any as shipped configuration of a system, subsystem, or system component does not aid in the violation of the security policy and can prevent the system from operating in the default configuration for those cases where the security policy itself requires configuration by the operational user.

+

Restrictive defaults mean that the system will operate as-shipped with adequate self-protection and be able to prevent security breaches before the intended security policy and system configuration is established. In cases where the protection provided by the as-shipped product is inadequate, stakeholders assess the risk of using it prior to establishing a secure initial state. Adherence to the principle of secure defaults guarantees that a system is established in a secure state upon successfully completing initialization. In situations where the system fails to complete initialization, either it will perform a requested operation using secure defaults or it will not perform the operation. Refer to the principles of continuous protection and secure failure and recovery that parallel this principle to provide the ability to detect and recover from failure.

+

The security engineering approach to this principle states that security mechanisms deny requests unless the request is found to be well-formed and consistent with the security policy. The insecure alternative is to allow a request unless it is shown to be inconsistent with the policy. In a large system, the conditions that are satisfied to grant a request that is denied by default are often far more compact and complete than those that would need to be checked in order to deny a request that is granted by default.

+ + + +

implement the security design principle of secure defaults.

+ + + + + + +

System and services acquisition policy

+

configuration management policy

+

procedures addressing the security design principle of secure defaults used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

procedures addressing the baseline configuration of the system

+

configuration management plan

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

procedures addressing system documentation

+

system documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of secure defaults in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of secure defaults in system specification, design, development, implementation, and modification

+

organizational processes for managing baseline configurations

+

mechanisms supporting configuration control of the baseline configuration

+ + + + + Secure Failure and Recovery + + + + + + + + + +

systems or system components that implement the security design principle of secure failure are defined;

+ + + + + + +

systems or system components that implement the security design principle of secure recovery are defined;

+ + + + + + + + + + + + + + + + + +

Implement the security design principle of secure failure and recovery in .

+ + +

The principle of secure failure and recovery states that neither a failure in a system function or mechanism nor any recovery action in response to failure leads to a violation of security policy. The principle of secure failure and recovery parallels the principle of continuous protection to ensure that a system is capable of detecting (within limits) actual and impending failure at any stage of its operation (i.e., initialization, normal operation, shutdown, and maintenance) and to take appropriate steps to ensure that security policies are not violated. In addition, when specified, the system is capable of recovering from impending or actual failure to resume normal, degraded, or alternative secure operations while ensuring that a secure state is maintained such that security policies are not violated.

+

Failure is a condition in which the behavior of a component deviates from its specified or expected behavior for an explicitly documented input. Once a failed security function is detected, the system may reconfigure itself to circumvent the failed component while maintaining security and provide all or part of the functionality of the original system, or it may completely shut itself down to prevent any further violation of security policies. For this to occur, the reconfiguration functions of the system are designed to ensure continuous enforcement of security policy during the various phases of reconfiguration.

+

Another technique that can be used to recover from failures is to perform a rollback to a secure state (which may be the initial state) and then either shutdown or replace the service or component that failed such that secure operations may resume. Failure of a component may or may not be detectable to the components using it. The principle of secure failure indicates that components fail in a state that denies rather than grants access. For example, a nominally atomic operation interrupted before completion does not violate security policy and is designed to handle interruption events by employing higher-level atomicity and rollback mechanisms (e.g., transactions). If a service is being used, its atomicity properties are well-documented and characterized so that the component availing itself of that service can detect and handle interruption events appropriately. For example, a system is designed to gracefully respond to disconnection and support resynchronization and data consistency after disconnection.

+

Failure protection strategies that employ replication of policy enforcement mechanisms, sometimes called defense in depth, can allow the system to continue in a secure state even when one mechanism has failed to protect the system. If the mechanisms are similar, however, the additional protection may be illusory, as the adversary can simply attack in series. Similarly, in a networked system, breaking the security on one system or service may enable an attacker to do the same on other similar replicated systems and services. By employing multiple protection mechanisms whose features are significantly different, the possibility of attack replication or repetition can be reduced. Analyses are conducted to weigh the costs and benefits of such redundancy techniques against increased resource usage and adverse effects on the overall system performance. Additional analyses are conducted as the complexity of these mechanisms increases, as could be the case for dynamic behaviors. Increased complexity generally reduces trustworthiness. When a resource cannot be continuously protected, it is critical to detect and repair any security breaches before the resource is once again used in a secure context.

+ + + + + +

implement the security design principle of secure failure;

+ + + + +

implement the security design principle of secure recovery.

+ + + + + + + + +

System and services acquisition policy

+

system and communications protection policy

+

contingency planning policy

+

procedures addressing information system recovery and reconstitution

+

procedures addressing the security design principle of secure failure and recovery used in the specification, design, development, implementation, and modification of the system

+

contingency plan

+

procedures addressing system backup

+

contingency plan test documentation

+

contingency plan test results

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

organizational personnel with contingency plan testing responsibilities

+

organizational personnel with system recovery and reconstitution responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+

organizational personnel with information system backup responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of secure failure and recovery in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of secure failure and recovery in system specification, design, development, implementation, and modification

+

mechanisms supporting and/or implementing secure failure

+

organizational processes for contingency plan testing

+

mechanisms supporting contingency plan testing

+

mechanisms supporting recovery and reconstitution of the system

+

organizational processes for conducting system backups

+

mechanisms supporting and/or implementing system backups

+ + + + + Economic Security + + + + + +

systems or system components that implement the security design principle of economic security are defined;

+ + + + + + + + + + + + +

Implement the security design principle of economic security in .

+ + +

The principle of economic security states that security mechanisms are not costlier than the potential damage that could occur from a security breach. This is the security-relevant form of the cost-benefit analyses used in risk management. The cost assumptions of cost-benefit analysis prevent the system designer from incorporating security mechanisms of greater strength than necessary, where strength of mechanism is proportional to cost. The principle of economic security also requires analysis of the benefits of assurance relative to the cost of that assurance in terms of the effort expended to obtain relevant and credible evidence as well as the necessary analyses to assess and draw trustworthiness and risk conclusions from the evidence.

+ + + +

implement the security design principle of economic security.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of economic security used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

cost-benefit analysis

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of economic security in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of economic security in system specification, design, development, implementation, and modification

+ + + + + Performance Security + + + + + +

systems or system components that implement the security design principle of performance security are defined;

+ + + + + + + + + + + + + + + +

Implement the security design principle of performance security in .

+ + +

The principle of performance security states that security mechanisms are constructed so that they do not degrade system performance unnecessarily. Stakeholder and system design requirements for performance and security are precisely articulated and prioritized. For the system implementation to meet its design requirements and be found acceptable to stakeholders (i.e., validation against stakeholder requirements), the designers adhere to the specified constraints that capability performance needs place on protection needs. The overall impact of computationally intensive security services (e.g., cryptography) are assessed and demonstrated to pose no significant impact to higher-priority performance considerations or are deemed to provide an acceptable trade-off of performance for trustworthy protection. The trade-off considerations include less computationally intensive security services unless they are unavailable or insufficient. The insufficiency of a security service is determined by functional capability and strength of mechanism. The strength of mechanism is selected with respect to security requirements, performance-critical overhead issues (e.g., cryptographic key management), and an assessment of the capability of the threat.

+

The principle of performance security leads to the incorporation of features that help in the enforcement of security policy but incur minimum overhead, such as low-level hardware mechanisms upon which higher-level services can be built. Such low-level mechanisms are usually very specific, have very limited functionality, and are optimized for performance. For example, once access rights to a portion of memory is granted, many systems use hardware mechanisms to ensure that all further accesses involve the correct memory address and access mode. Application of this principle reinforces the need to design security into the system from the ground up and to incorporate simple mechanisms at the lower layers that can be used as building blocks for higher-level mechanisms.

+ + + +

implement the security design principle of performance security.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of performance security used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

trade-off analysis between performance and security

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of performance security in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of performance security in system specification, design, development, implementation, and modification

+ + + + + Human Factored Security + + + + + +

systems or system components that implement the security design principle of human factored security are defined;

+ + + + + + + + + + + +

Implement the security design principle of human factored security in .

+ + +

The principle of human factored security states that the user interface for security functions and supporting services is intuitive, user-friendly, and provides feedback for user actions that affect such policy and its enforcement. The mechanisms that enforce security policy are not intrusive to the user and are designed not to degrade user efficiency. Security policy enforcement mechanisms also provide the user with meaningful, clear, and relevant feedback and warnings when insecure choices are being made. Particular attention is given to interfaces through which personnel responsible for system administration and operation configure and set up the security policies. Ideally, these personnel are able to understand the impact of their choices. Personnel with system administrative and operational responsibilities are able to configure systems before start-up and administer them during runtime with confidence that their intent is correctly mapped to the system’s mechanisms. Security services, functions, and mechanisms do not impede or unnecessarily complicate the intended use of the system. There is a trade-off between system usability and the strictness necessary for security policy enforcement. If security mechanisms are frustrating or difficult to use, then users may disable them, avoid them, or use them in ways inconsistent with the security requirements and protection needs that the mechanisms were designed to satisfy.

+ + + +

implement the security design principle of human factored security.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of human factored security used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

usability analysis

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with human factored security responsibilities

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of human factored security in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of human factored security in system specification, design, development, implementation, and modification

+

mechanisms that enforce security policies

+ + + + + Acceptable Security + + + + + +

systems or system components that implement the security design principle of acceptable security are defined;

+ + + + + + + + + + + +

Implement the security design principle of acceptable security in .

+ + +

The principle of acceptable security requires that the level of privacy and performance that the system provides is consistent with the users’ expectations. The perception of personal privacy may affect user behavior, morale, and effectiveness. Based on the organizational privacy policy and the system design, users should be able to restrict their actions to protect their privacy. When systems fail to provide intuitive interfaces or meet privacy and performance expectations, users may either choose to completely avoid the system or use it in ways that may be inefficient or even insecure.

+ + + +

implement the security design principle of acceptable security.

+ + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the security design principle of acceptable security used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

personally identifiable information processing policy

+

privacy notifications provided to users

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+ + + + + + +

Organizational processes for applying the security design principle of acceptable security in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of acceptable security in system specification, design, development, implementation, and modification

+

mechanisms that enforce security policies

+ + + + + Repeatable and Documented Procedures + + + + + +

systems or system components that implement the security design principle of repeatable and documented procedures are defined;

+ + + + + + + + + + + + + + + + + + + +

Implement the security design principle of repeatable and documented procedures in .

+ + +

The principle of repeatable and documented procedures states that the techniques and methods employed to construct a system component permit the same component to be completely and correctly reconstructed at a later time. Repeatable and documented procedures support the development of a component that is identical to the component created earlier, which may be in widespread use. In the case of other system artifacts (e.g., documentation and testing results), repeatability supports consistency and the ability to inspect the artifacts. Repeatable and documented procedures can be introduced at various stages within the system development life cycle and contribute to the ability to evaluate assurance claims for the system. Examples include systematic procedures for code development and review, procedures for the configuration management of development tools and system artifacts, and procedures for system delivery.

+ + + +

implement the security design principle of repeatable and documented procedures.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of repeatable and documented procedures used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of repeatable and documented procedures in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of repeatable and documented procedures in system specification, design, development, implementation, and modification

+

mechanisms that enforce security policies

+ + + + + Procedural Rigor + + + + + +

systems or system components that implement the security design principle of procedural rigor are defined;

+ + + + + + + + + + + +

Implement the security design principle of procedural rigor in .

+ + +

The principle of procedural rigor states that the rigor of a system life cycle process is commensurate with its intended trustworthiness. Procedural rigor defines the scope, depth, and detail of the system life cycle procedures. Rigorous system life cycle procedures contribute to the assurance that the system is correct and free of unintended functionality in several ways. First, the procedures impose checks and balances on the life cycle process such that the introduction of unspecified functionality is prevented.

+

Second, rigorous procedures applied to systems security engineering activities that produce specifications and other system design documents contribute to the ability to understand the system as it has been built rather than trusting that the component, as implemented, is the authoritative (and potentially misleading) specification.

+

Finally, modifications to an existing system component are easier when there are detailed specifications that describe its current design instead of studying source code or schematics to try to understand how it works. Procedural rigor helps ensure that security functional and assurance requirements have been satisfied, and it contributes to a better-informed basis for the determination of trustworthiness and risk posture. Procedural rigor is commensurate with the degree of assurance desired for the system. If the required trustworthiness of the system is low, a high level of procedural rigor may add unnecessary cost, whereas when high trustworthiness is critical, the cost of high procedural rigor is merited.

+ + + +

implement the security design principle of procedural rigor.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of procedural rigor used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of procedural rigor in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of procedural rigor in system specification, design, development, implementation, and modification

+

mechanisms that enforce security policies

+ + + + + Secure System Modification + + + + + +

systems or system components that implement the security design principle of secure system modification are defined;

+ + + + + + + + + + + + + +

Implement the security design principle of secure system modification in .

+ + +

The principle of secure system modification states that system modification maintains system security with respect to the security requirements and risk tolerance of stakeholders. Upgrades or modifications to systems can transform secure systems into systems that are not secure. The procedures for system modification ensure that if the system is to maintain its trustworthiness, the same rigor that was applied to its initial development is applied to any system changes. Because modifications can affect the ability of the system to maintain its secure state, a careful security analysis of the modification is needed prior to its implementation and deployment. This principle parallels the principle of secure evolvability.

+ + + +

implement the security design principle of secure system modification.

+ + + + + + +

System and services acquisition policy

+

configuration management policy and procedures

+

procedures addressing the security design principle of secure system modification used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

system configuration settings and associated documentation

+

change control records

+

security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of secure system modification in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of secure system modification in system specification, design, development, implementation, and modification

+

mechanisms that enforce security policies

+

organizational processes for managing change configuration

+

mechanisms supporting configuration control

+ + + + + Sufficient Documentation + + + + + +

systems or system components that implement the security design principle of sufficient documentation are defined;

+ + + + + + + + + + + + + + +

Implement the security design principle of sufficient documentation in .

+ + +

The principle of sufficient documentation states that organizational personnel with responsibilities to interact with the system are provided with adequate documentation and other information such that the personnel contribute to rather than detract from system security. Despite attempts to comply with principles such as human factored security and acceptable security, systems are inherently complex, and the design intent for the use of security mechanisms and the ramifications of the misuse or misconfiguration of security mechanisms are not always intuitively obvious. Uninformed and insufficiently trained users can introduce vulnerabilities due to errors of omission and commission. The availability of documentation and training can help to ensure a knowledgeable cadre of personnel, all of whom have a critical role in the achievement of principles such as continuous protection. Documentation is written clearly and supported by training that provides security awareness and understanding of security-relevant responsibilities.

+ + + +

implement the security design principle of sufficient documentation.

+ + + + + + +

System and services acquisition policy

+

procedures addressing the security design principle of sufficient documentation used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

system configuration settings and associated documentation

+

change control records

+

security and privacy requirements and specifications for the system

+

system security and privacy documentation

+

system security and privacy architecture

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with the responsibility for determining system security and privacy requirements

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for applying the security design principle of sufficient documentation in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of sufficient documentation in system specification, design, development, implementation, and modification

+

mechanisms that enforce security policies

+

organizational processes for managing change configuration

+

mechanisms supporting configuration control

+ + + + + Minimization + + + + + +

processes that implement the privacy principle of minimization are defined;

+ + + + + + + + + + + + + + + +

Implement the privacy principle of minimization using .

+ + +

The principle of minimization states that organizations should only process personally identifiable information that is directly relevant and necessary to accomplish an authorized purpose and should only maintain personally identifiable information for as long as is necessary to accomplish the purpose. Organizations have processes in place, consistent with applicable laws and policies, to implement the principle of minimization.

+ + + +

the privacy principle of minimization is implemented using .

+ + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

personally identifiable information processing policy

+

procedures addressing the minimization of personally identifiable information in system design

+

system design documentation

+

system configuration settings and associated documentation

+

change control records

+

information security and privacy requirements and specifications for the system

+

system security and privacy architecture

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

organizational personnel with system specification, design, development, implementation, and modification responsibilities

+

system developers

+ + + + + + +

Organizational processes for applying the privacy design principle of minimization in system specification, design, development, implementation, and modification

+

mechanisms supporting the application of the security design principle of sufficient documentation in system specification, design, development, implementation, and modification

+

mechanisms that enforce security and privacy policy

+

organizational processes for managing change configuration

+

mechanisms supporting configuration control

+ + + + + + External System Services + + + + + +

controls to be employed by external system service providers are defined;

+ + + + + + + +

processes, methods, and techniques employed to monitor control compliance by external service providers are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: ;

+ + + +

Define and document organizational oversight and user roles and responsibilities with regard to external system services; and

+ + + +

Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: .

+ + + +

External system services are provided by an external provider, and the organization has no direct control over the implementation of the required controls or the assessment of control effectiveness. Organizations establish relationships with external service providers in a variety of ways, including through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a certain level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust vary based on relationships between organizations and the external providers. Organizations document the basis for the trust relationships so that the relationships can be monitored. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define the expectations of performance for implemented controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.

+ + + + + + + +

providers of external system services comply with organizational security requirements;

+ + + + +

providers of external system services comply with organizational privacy requirements;

+ + + + +

providers of external system services employ ;

+ + + + + + + + +

organizational oversight with regard to external system services are defined and documented;

+ + + + +

user roles and responsibilities with regard to external system services are defined and documented;

+ + + + + + +

are employed to monitor control compliance by external service providers on an ongoing basis.

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing methods and techniques for monitoring control compliance by external service providers of system services

+

acquisition documentation

+

contracts

+

service level agreements

+

interagency agreements

+

licensing agreements

+

list of organizational security and privacy requirements for external provider services

+

control assessment results or reports from external providers of system services

+

system security plan

+

privacy plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

external providers of system services

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis

+

mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis

+ + + + Risk Assessments and Organizational Approvals + + + + + +

personnel or roles that approve the acquisition or outsourcing of dedicated information security services is/are defined;

+ + + + + + + + + + + + + + + +

Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and

+ + + +

Verify that the acquisition or outsourcing of dedicated information security services is approved by .

+ + + +

Information security services include the operation of security devices, such as firewalls or key management services as well as incident monitoring, analysis, and response. Risks assessed can include system, mission or business, security, privacy, or supply chain risks.

+ + + + + +

an organizational assessment of risk is conducted prior to the acquisition or outsourcing of information security services;

+ + + + +

approve the acquisition or outsourcing of dedicated information security services.

+ + + + + + + + +

System and services acquisition policy

+

supply chain risk management policy and procedures

+

procedures addressing external system services

+

acquisition documentation

+

acquisition contracts for the system, system component, or system service

+

risk assessment reports

+

approval records for the acquisition or outsourcing of dedicated security services

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with system security responsibilities

+

external providers of system services

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated security services

+

organizational processes for approving the outsourcing of dedicated security services

+

mechanisms supporting and/or implementing risk assessment

+

mechanisms supporting and/or implementing approval processes

+ + + + + Identification of Functions, Ports, Protocols, and Services + + + + + +

external system services that require the identification of functions, ports, protocols, and other services are defined;

+ + + + + + + + + + + + +

Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: .

+ + +

Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols.

+ + + +

providers of are required to identify the functions, ports, protocols, and other services required for the use of such services.

+ + + + + + +

System and services acquisition policy

+

supply chain risk management policy and procedures

+

procedures addressing external system services

+

acquisition contracts for the system, system component, or system service

+

acquisition documentation

+

solicitation documentation

+

service level agreements

+

organizational security requirements and security specifications for external service providers

+

list of required functions, ports, protocols, and other services

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

external providers of system services

+ + + + + Establish and Maintain Trust Relationship with Providers + + + + + + + + + +

security requirements, properties, factors, or conditions defining acceptable trust relationships on which a trust relationship is maintained are defined;

+ + + + + + +

privacy requirements, properties, factors, or conditions defining acceptable trust relationships on which a trust relationship is maintained are defined;

+ + + + + + + + + + + +

Establish, document, and maintain trust relationships with external service providers based on the following requirements, properties, factors, or conditions: .

+ + +

Trust relationships between organizations and external service providers reflect the degree of confidence that the risk from using external services is at an acceptable level. Trust relationships can help organizations gain increased levels of confidence that service providers are providing adequate protection for the services rendered and can also be useful when conducting incident response or when planning for upgrades or obsolescence. Trust relationships can be complicated due to the potentially large number of entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and types of interactions between the parties. In some cases, the degree of trust is based on the level of control that organizations can exert on external service providers regarding the controls necessary for the protection of the service, information, or individual privacy and the evidence brought forth as to the effectiveness of the implemented controls. The level of control is established by the terms and conditions of the contracts or service-level agreements.

+ + + + + +

trust relationships with external service provides based on are established and documented;

+ + + + +

trust relationships with external service provides based on are maintained;

+ + + + +

trust relationships with external service provides based on are established and documented;

+ + + + +

trust relationships with external service provides based on are maintained.

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

acquisition contracts for the system, system component, or system service

+

acquisition documentation

+

solicitation documentation

+

service level agreements

+

memorandum of understanding

+

memorandum of agreements

+

list of organizational security and privacy requirements, properties, factors, or conditions for external provider services

+

documentation of trust relationships with external service providers

+

system security plan

+

privacy plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

external providers of system services

+

organizational personnel with supply chain risk management responsibilities

+ + + + + Consistent Interests of Consumers and Providers + + + + + +

external service providers are defined;

+ + + + + + + +

actions to be taken to verify that the interests of external service providers are consistent with and reflect organizational interests are defined;

+ + + + + + + + + + +

Take the following actions to verify that the interests of are consistent with and reflect organizational interests: .

+ + +

As organizations increasingly use external service providers, it is possible that the interests of the service providers may diverge from organizational interests. In such situations, simply having the required technical, management, or operational controls in place may not be sufficient if the providers that implement and manage those controls are not operating in a manner consistent with the interests of the consuming organizations. Actions that organizations take to address such concerns include requiring background checks for selected service provider personnel; examining ownership records; employing only trustworthy service providers, such as providers with which organizations have had successful trust relationships; and conducting routine, periodic, unscheduled visits to service provider facilities.

+ + + +

are taken to verify that the interests of are consistent with and reflect organizational interests.

+ + + + + + +

System and services acquisition policy

+

procedures addressing external system services

+

acquisition contracts for the system, system component, or system service

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

organizational security requirements/safeguards for external service providers

+

personnel security policies for external service providers

+

assessments performed on external service providers

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

external providers of system services

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for defining and employing safeguards to ensure consistent interests with external service providers

+

mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers

+ + + + + Processing, Storage, and Service Location + + + + + + + + + + +

locations where is/are to be restricted are defined;

+ + + + + + + + +

requirements or conditions for restricting the location of are defined;

+ + + + + + + + + + + + +

Restrict the location of to based on .

+ + +

The location of information processing, information and data storage, or system services can have a direct impact on the ability of organizations to successfully execute their mission and business functions. The impact occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria that organizations use. For example, organizations may desire that data or information storage locations be restricted to certain locations to help facilitate incident response activities in case of information security incidents or breaches. Incident response activities, including forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws, policies, or protocols in the locations where processing and storage occur and/or the locations from which system services emanate.

+ + + +

based on , is/are restricted to .

+ + + + + + +

System and services acquisition policy

+

procedures addressing external system services

+

acquisition contracts for the system, system component, or system service

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

restricted locations for information processing

+

information/data and/or system services

+

information processing, information/data, and/or system services to be maintained in restricted locations

+

organizational security requirements or conditions for external providers

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

external providers of system services

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for defining the requirements to restrict locations of information processing, information/data, or information services

+

organizational processes for ensuring the location is restricted in accordance with requirements or conditions

+ + + + + Organization-controlled Cryptographic Keys + + + + + + + + + + + +

Maintain exclusive control of cryptographic keys for encrypted material stored or transmitted through an external system.

+ + +

Maintaining exclusive control of cryptographic keys in an external system prevents decryption of organizational data by external system staff. Organizational control of cryptographic keys can be implemented by encrypting and decrypting data inside the organization as data is sent to and received from the external system or by employing a component that permits encryption and decryption functions to be local to the external system but allows exclusive organizational access to the encryption keys.

+ + + +

exclusive control of cryptographic keys is maintained for encrypted material stored or transmitted through an external system.

+ + + + + + +

System and services acquisition policy

+

procedures addressing external system services

+

acquisition contracts for the system, system component, or system service

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

procedures addressing organization-controlled cryptographic key management

+

organizational security requirements or conditions for external providers

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organization personnel with cryptographic key management responsibilities

+

external providers of system services

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for cryptographic key management

+

mechanisms for supporting and implementing the management of organization-controlled cryptographic keys

+ + + + + Organization-controlled Integrity Checking + + + + + + + + + +

Provide the capability to check the integrity of information while it resides in the external system.

+ + +

Storage of organizational information in an external system could limit visibility into the security status of its data. The ability of the organization to verify and validate the integrity of its stored data without transferring it out of the external system provides such visibility.

+ + + +

the capability is provided to check the integrity of information while it resides in the external system.

+ + + + + + +

System and services acquisition policy

+

procedures addressing external system services

+

acquisition contracts for the system, system component, or system service

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

procedures addressing organization-controlled integrity checking

+

information/data and/or system services

+

organizational security requirements or conditions for external providers

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organization personnel with integrity checking responsibilities

+

external providers of system services

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for integrity checking

+

mechanisms for supporting and implementing integrity checking of information in external systems

+ + + + + Processing and Storage Location — U.S. Jurisdiction + + + + + + + + + + +

Restrict the geographic location of information processing and data storage to facilities located within in the legal jurisdictional boundary of the United States.

+ + +

The geographic location of information processing and data storage can have a direct impact on the ability of organizations to successfully execute their mission and business functions. A compromise or breach of high impact information and systems can have severe or catastrophic adverse impacts on organizational assets and operations, individuals, other organizations, and the Nation. Restricting the processing and storage of high-impact information to facilities within the legal jurisdictional boundary of the United States provides greater control over such processing and storage.

+ + + +

the geographic location of information processing and data storage is restricted to facilities located within the legal jurisdictional boundary of the United States.

+ + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing external system services

+

acquisition contracts for the system, system component, or system service

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

procedures addressing determining jurisdiction restrictions for processing and storage location

+

information/data and/or system services

+

organizational security requirements or conditions for external providers

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organization personnel with supply chain risk management responsibilities

+

external providers of system services

+ + + + + + +

Organizational processes restricting external system service providers to process and store information within the legal jurisdictional boundary of the United States

+ + + + + + Developer Configuration Management + + + + + + + + + + + +

configuration items under configuration management are defined;

+ + + + + + + +

personnel to whom security flaws and flaw resolutions within the system, component, or service are reported is/are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Require the developer of the system, system component, or system service to:

+ + +

Perform configuration management during system, component, or service ;

+ + + +

Document, manage, and control the integrity of changes to ;

+ + + +

Implement only organization-approved changes to the system, component, or service;

+ + + +

Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and

+ + + +

Track security flaws and flaw resolution within the system, component, or service and report findings to .

+ + + +

Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware from unauthorized modification or destruction. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes.

+

The configuration items that are placed under configuration management include the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle.

+ + + + + +

the developer of the system, system component, or system service is required to perform configuration management during system, component, or service ;

+ + + + + + +

the developer of the system, system component, or system service is required to document the integrity of changes to ;

+ + + + +

the developer of the system, system component, or system service is required to manage the integrity of changes to ;

+ + + + +

the developer of the system, system component, or system service is required to control the integrity of changes to ;

+ + + + + + +

the developer of the system, system component, or system service is required to implement only organization-approved changes to the system, component, or service;

+ + + + + + +

the developer of the system, system component, or system service is required to document approved changes to the system, component, or service;

+ + + + +

the developer of the system, system component, or system service is required to document the potential security impacts of approved changes;

+ + + + +

the developer of the system, system component, or system service is required to document the potential privacy impacts of approved changes;

+ + + + + + + + +

the developer of the system, system component, or system service is required to track security flaws within the system, component, or service;

+ + + + +

the developer of the system, system component, or system service is required to track security flaw resolutions within the system, component, or service;

+ + + + +

the developer of the system, system component, or system service is required to report findings to .

+ + + + + + + + + + +

System and services acquisition policy

+

procedures addressing system developer configuration management

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer configuration management plan

+

security flaw and flaw resolution tracking records

+

system change authorization records

+

change control records

+

configuration management records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+ + + + + + +

Organizational processes for monitoring developer configuration management

+

mechanisms supporting and/or implementing the monitoring of developer configuration management

+ + + + Software and Firmware Integrity Verification + + + + + + + + + + +

Require the developer of the system, system component, or system service to enable integrity verification of software and firmware components.

+ + +

Software and firmware integrity verification allows organizations to detect unauthorized changes to software and firmware components using developer-provided tools, techniques, and mechanisms. The integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.

+ + + +

the developer of the system, system component, or system service is required to enable integrity verification of software and firmware components.

+ + + + + + +

System and services acquisition policy

+

procedures addressing system developer configuration management

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer configuration management plan

+

software and firmware integrity verification records

+

system change authorization records

+

change control records

+

configuration management records

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for monitoring developer configuration management

+

mechanisms supporting and/or implementing the monitoring of developer configuration management

+ + + + + Alternative Configuration Management Processes + + + + + + + + +

Provide an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.

+ + +

Alternate configuration management processes may be required when organizations use commercial off-the-shelf information technology products. Alternate configuration management processes include organizational personnel who review and approve proposed changes to systems, system components, and system services and conduct security and privacy impact analyses prior to the implementation of changes to systems, components, or services.

+ + + +

an alternate configuration management process has been provided using organizational personnel in the absence of a dedicated developer configuration management team.

+ + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

configuration management policy

+

configuration management plan

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer configuration management plan

+

security impact analyses

+

privacy impact analyses

+

privacy impact assessment

+

privacy risk assessment documentation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+ + + + + + +

Organizational processes for monitoring developer configuration management

+

mechanisms supporting and/or implementing the monitoring of developer configuration management

+ + + + + Hardware Integrity Verification + + + + + + + + + +

Require the developer of the system, system component, or system service to enable integrity verification of hardware components.

+ + +

Hardware integrity verification allows organizations to detect unauthorized changes to hardware components using developer-provided tools, techniques, methods, and mechanisms. Organizations may verify the integrity of hardware components with hard-to-copy labels, verifiable serial numbers provided by developers, and by requiring the use of anti-tamper technologies. Delivered hardware components also include hardware and firmware updates to such components.

+ + + +

the developer of the system, system component, or system service is required to enable integrity verification of hardware components.

+ + + + + + +

System and services acquisition policy

+

procedures addressing system developer configuration management

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer configuration management plan

+

hardware integrity verification records

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for monitoring developer configuration management

+

mechanisms supporting and/or implementing the monitoring of developer configuration management

+ + + + + Trusted Generation + + + + + + + + +

Require the developer of the system, system component, or system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions, source code, and object code with previous versions.

+ + +

The trusted generation of descriptions, source code, and object code addresses authorized changes to hardware, software, and firmware components between versions during development. The focus is on the efficacy of the configuration management process by the developer to ensure that newly generated versions of security-relevant hardware descriptions, source code, and object code continue to enforce the security policy for the system, system component, or system service. In contrast, SA-10(1) and SA-10(3) allow organizations to detect unauthorized changes to hardware, software, and firmware components using tools, techniques, or mechanisms provided by developers.

+ + + + + +

the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of security-relevant hardware descriptions with previous versions;

+ + + + +

the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of source code with previous versions;

+ + + + +

the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of object code with previous versions.

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing system developer configuration management

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer configuration management plan

+

change control records

+

configuration management records

+

configuration control audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational processes for monitoring developer configuration management

+

mechanisms supporting and/or implementing the monitoring of developer configuration management

+ + + + + Mapping Integrity for Version Control + + + + + + + + +

Require the developer of the system, system component, or system service to maintain the integrity of the mapping between the master build data describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.

+ + +

Mapping integrity for version control addresses changes to hardware, software, and firmware components during both initial development and system development life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs, hardware drawings, source code) and the equivalent data in master copies in operational environments is essential to ensuring the availability of organizational systems that support critical mission and business functions.

+ + + +

the developer of the system, system component, or system service is required to maintain the integrity of the mapping between the master build data describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.

+ + + + + + +

System and services acquisition policy

+

procedures addressing system developer configuration management

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer configuration management plan

+

change control records

+

configuration management records

+

version control change/update records

+

integrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code)

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+ + + + + + +

Organizational processes for monitoring developer configuration management

+

mechanisms supporting and/or implementing the monitoring of developer configuration management

+ + + + + Trusted Distribution + + + + + + + + +

Require the developer of the system, system component, or system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.

+ + +

The trusted distribution of security-relevant hardware, software, and firmware updates help to ensure that the updates are correct representations of the master copies maintained by the developer and have not been tampered with during distribution.

+ + + +

the developer of the system, system component, or system service is required to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.

+ + + + + + +

System and services acquisition policy

+

procedures addressing system developer configuration management

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer configuration management plan

+

change control records

+

configuration management records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+ + + + + + +

Organizational processes for monitoring developer configuration management

+

mechanisms supporting and/or implementing the monitoring of developer configuration management

+ + + + + Security and Privacy Representatives + + + + + + + + + + + + + + +

security representatives to be included in the configuration change management and control process are defined;

+ + + + + + +

privacy representatives to be included in the configuration change management and control process are defined;

+ + + + + + +

configuration change management and control processes in which security representatives are required to be included are defined;

+ + + + + + +

configuration change management and control processes in which privacy representatives are required to be included are defined;

+ + + + + + + + + + +

Require to be included in the .

+ + +

Information security and privacy representatives can include system security officers, senior agency information security officers, senior agency officials for privacy, and system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change management and control process in this control enhancement refers to the change management and control process defined by organizations in SA-10b.

+ + + + + +

are required to be included in the ;

+ + + + +

are required to be included in the .

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

configuration management policy

+

configuration management plan

+

solicitation documentation requiring representatives for security and privacy

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer configuration management plan

+

change control records

+

configuration management records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+ + + + + + Developer Testing and Evaluation + + + + + + + + + + + +

frequency at which to conduct testing/evaluation is defined;

+ + + + + + + +

depth and coverage of testing/evaluation is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + +

Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:

+ + +

Develop and implement a plan for ongoing security and privacy control assessments;

+ + + +

Perform testing/evaluation at ;

+ + + +

Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;

+ + + +

Implement a verifiable flaw remediation process; and

+ + + +

Correct flaws identified during testing and evaluation.

+ + + +

Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes—including upgrading or replacing applications, operating systems, and firmware—may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review, security architecture review, and penetration testing, as well as and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches.

+

Developers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include the specific activities that developers plan to carry out, including the types of analyses, testing, evaluation, and reviews of software and firmware components; the degree of rigor to be applied; the frequency of the ongoing testing and evaluation; and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation.

+ + + + + + + +

the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for ongoing security assessments;

+ + + + +

the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing security assessments;

+ + + + +

the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for privacy assessments;

+ + + + +

the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing privacy assessments;

+ + + + + + +

the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to perform testing/evaluation at ;

+ + + + + + +

the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce evidence of the execution of the assessment plan;

+ + + + +

the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce the results of the testing and evaluation;

+ + + + + + +

the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a verifiable flaw remediation process;

+ + + + +

the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to correct flaws identified during testing and evaluation.

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing system developer security and privacy testing

+

procedures addressing flaw remediation

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

security and privacy architecture

+

system design documentation

+

system developer security and privacy assessment plans

+

results of developer security and privacy assessments for the system, system component, or system service

+

security and privacy flaw and remediation tracking records

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with developer security and privacy testing responsibilities

+

system developers

+ + + + + + +

Organizational processes for monitoring developer security testing and evaluation

+

mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation

+ + + + Static Code Analysis + + + + + + + + +

Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis.

+ + +

Static code analysis provides a technology and methodology for security reviews and includes checking for weaknesses in the code as well as for the incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Static code analysis can be used to identify vulnerabilities and enforce secure coding practices. It is most effective when used early in the development process, when each code change can automatically be scanned for potential weaknesses. Static code analysis can provide clear remediation guidance and identify defects for developers to fix. Evidence of the correct implementation of static analysis can include aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were remediated. A high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.

+ + + + + +

the developer of the system, system component, or system service is required to employ static code analysis tools to identify common flaws;

+ + + + +

the developer of the system, system component, or system service is required to employ static code analysis tools to document the results of the analysis.

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing system developer security testing

+

procedures addressing flaw remediation

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

security and privacy architecture

+

system design documentation

+

system developer security and privacy assessment plans

+

results of system developer security and privacy assessments

+

security flaw and remediation tracking records

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with developer security and privacy testing responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+ + + + + + +

Organizational processes for monitoring developer security testing and evaluation

+

mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

+

static code analysis tools

+ + + + + Threat Modeling and Vulnerability Analyses + + + + + + + + + + + + + + + + +

information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used as contextual information for threat modeling and vulnerability analyses is defined;

+ + + + + + + +

the tools and methods to be employed for threat modeling and vulnerability analyses are defined;

+ + + + + + +

the breadth and depth of threat modeling to be conducted is defined;

+ + + + + + +

the breadth and depth of vulnerability analyses to be conducted is defined;

+ + + + + + +

acceptance criteria to be met by produced evidence for threat modeling are defined;

+ + + + + + +

acceptance criteria to be met by produced evidence for vulnerability analyses are defined;

+ + + + + + + + + + + + + +

Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that:

+ + +

Uses the following contextual information: ;

+ + + +

Employs the following tools and methods: ;

+ + + +

Conducts the modeling and analyses at the following level of rigor: ; and

+ + + +

Produces evidence that meets the following acceptance criteria: .

+ + + +

Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design stages of the system development life cycle. Therefore, updates to threat modeling and vulnerability analyses of those systems, system components, and system services during development and prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this stage of the system development life cycle ensure that design and implementation changes have been accounted for and that vulnerabilities created because of those changes have been reviewed and mitigated.

+ + + + + + + +

the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that uses ;

+ + + + +

the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that uses ;

+ + + + +

the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that uses ;

+ + + + +

the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that uses ;

+ + + + + + + + +

the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that employs ;

+ + + + +

the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that employs ;

+ + + + +

the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that employs ;

+ + + + +

the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that employs ;

+ + + + + + + + +

the developer of the system, system component, or system service is required to perform threat modeling at during development of the system, component, or service;

+ + + + +

the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that conducts modeling and analyses at ;

+ + + + + + + + +

the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that produces evidence that meets ;

+ + + + +

the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets ;

+ + + + +

the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that produces evidence that meets ;

+ + + + +

the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets .

+ + + + + + + + + + +

System and services acquisition policy

+

procedures addressing system developer security testing

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer security test plans

+

records of developer security testing results for the system, system component, or system service

+

vulnerability scanning results

+

system risk assessment reports

+

threat and vulnerability analysis reports

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with developer security testing responsibilities

+

system developers

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for monitoring developer security testing and evaluation

+

mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

+ + + + + Independent Verification of Assessment Plans and Evidence + + + + + +

independence criteria to be satisfied by an independent agent are defined;

+ + + + + + + + + + + + + + +

Require an independent agent satisfying to verify the correct implementation of the developer security and privacy assessment plans and the evidence produced during testing and evaluation; and

+ + + +

Verify that the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information.

+ + + +

Independent agents have the qualifications—including the expertise, skills, training, certifications, and experience—to verify the correct implementation of developer security and privacy assessment plans.

+ + + + + + + +

an independent agent is required to satisfy to verify the correct implementation of the developer security assessment plan and the evidence produced during testing and evaluation;

+ + + + +

an independent agent is required to satisfy to verify the correct implementation of the developer privacy assessment plan and the evidence produced during testing and evaluation;

+ + + + + + +

the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information.

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing system developer security testing

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

independent verification and validation reports

+

security and privacy assessment plans

+

results of security and privacy assessments for the system, system component, or system service

+

system security plan

+

privacy plan

+

privacy program plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with developer security testing responsibilities

+

system developers

+

independent verification agent

+ + + + + + +

Organizational processes for monitoring developer security testing and evaluation

+

mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

+ + + + + Manual Code Reviews + + + + + +

specific code requiring manual code review is defined;

+ + + + + + + +

processes, procedures, and/or techniques used for manual code reviews are defined;

+ + + + + + + + + + +

Require the developer of the system, system component, or system service to perform a manual code review of using the following processes, procedures, and/or techniques: .

+ + +

Manual code reviews are usually reserved for the critical software and firmware components of systems. Manual code reviews are effective at identifying weaknesses that require knowledge of the application’s requirements or context that, in most cases, is unavailable to automated analytic tools and techniques, such as static and dynamic analysis. The benefits of manual code review include the ability to verify access control matrices against application controls and review detailed aspects of cryptographic implementations and controls.

+ + + +

the developer of the system, system component, or system service is required to perform a manual code review of using .

+ + + + + + +

System and services acquisition policy

+

procedures addressing system developer security testing

+

processes, procedures, and/or techniques for performing manual code reviews

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer security testing and evaluation plans

+

system developer security testing and evaluation results

+

list of code requiring manual reviews

+

records of manual code reviews

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with developer security testing responsibilities

+

system developers

+

independent verification agent

+ + + + + + +

Organizational processes for monitoring developer security testing and evaluation

+

mechanisms supporting and/or implementing the monitoring of developer testing and evaluation

+ + + + + Penetration Testing + + + + + + + + + +

the breadth of penetration testing is defined;

+ + + + + + +

the depth of penetration testing is defined;

+ + + + + + + +

constraints of penetration testing are defined;

+ + + + + + + + + + + + + + + + + +

Require the developer of the system, system component, or system service to perform penetration testing:

+ + +

At the following level of rigor: ; and

+ + + +

Under the following constraints: .

+ + + +

Penetration testing is an assessment methodology in which assessors, using all available information technology product or system documentation and working under specific constraints, attempt to circumvent the implemented security and privacy features of information technology products and systems. Useful information for assessors who conduct penetration testing includes product and system design specifications, source code, and administrator and operator manuals. Penetration testing can include white-box, gray-box, or black-box testing with analyses performed by skilled professionals who simulate adversary actions. The objective of penetration testing is to discover vulnerabilities in systems, system components, and services that result from implementation errors, configuration faults, or other operational weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide a greater level of analysis than would ordinarily be possible. When user session information and other personally identifiable information is captured or recorded during penetration testing, such information is handled appropriately to protect privacy.

+ + + + + + + +

the developer of the system, system component, or system service is required to perform penetration testing at the following level of rigor: ;

+ + + + +

the developer of the system, system component, or system service is required to perform penetration testing at the following level of rigor: ;

+ + + + + + +

the developer of the system, system component, or system service is required to perform penetration testing under .

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing system developer security testing

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer penetration testing and evaluation plans

+

system developer penetration testing and evaluation results

+

system security plan

+

privacy plan

+

personally identifiable information processing policy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with developer security testing responsibilities

+

system developers

+

independent verification agent

+ + + + + + +

Organizational processes for monitoring developer security and privacy assessments

+

mechanisms supporting and/or implementing the monitoring of developer security and privacy assessments

+ + + + + Attack Surface Reviews + + + + + + + + + +

Require the developer of the system, system component, or system service to perform attack surface reviews.

+ + +

Attack surfaces of systems and system components are exposed areas that make those systems more vulnerable to attacks. Attack surfaces include any accessible areas where weaknesses or deficiencies in the hardware, software, and firmware components provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers analyze the design and implementation changes to systems and mitigate attack vectors generated as a result of the changes. The correction of identified flaws includes deprecation of unsafe functions.

+ + + +

the developer of the system, system component, or system service is required to perform attack surface reviews.

+ + + + + + +

System and services acquisition policy

+

procedures addressing system developer security testing

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer security testing and evaluation plans

+

system developer security testing and evaluation results

+

records of attack surface reviews

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with developer security testing responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+ + + + + + +

Organizational processes for monitoring developer security testing and evaluation

+

mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

+ + + + + Verify Scope of Testing and Evaluation + + + + + + + + + +

the breadth of testing and evaluation of required controls is defined;

+ + + + + + +

the depth of testing and evaluation of required controls is defined;

+ + + + + + + + + + + +

Require the developer of the system, system component, or system service to verify that the scope of testing and evaluation provides complete coverage of the required controls at the following level of rigor: .

+ + +

Verifying that testing and evaluation provides complete coverage of required controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance that corresponds to the degree of formality of the analysis. Rigorously demonstrating control coverage at the highest levels of assurance can be achieved using formal modeling and analysis techniques, including correlation between control implementation and corresponding test cases.

+ + + + + +

the developer of the system, system component, or system service is required to verify that the scope of testing and evaluation provides complete coverage of the required controls at ;

+ + + + +

the developer of the system, system component, or system service is required to verify that the scope of testing and evaluation provides complete coverage of the required controls at .

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing system developer security testing

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer security testing and evaluation plans

+

system developer security testing and evaluation results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with developer security testing responsibilities

+

system developers

+

independent verification agent

+ + + + + + +

Organizational processes for monitoring developer security testing and evaluation

+

mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

+ + + + + Dynamic Code Analysis + + + + + + + + +

Require the developer of the system, system component, or system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.

+ + +

Dynamic code analysis provides runtime verification of software programs using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs runtime tools to ensure that security functionality performs in the way it was designed. A type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies are derived from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and the assurance provided, organizations may also consider conducting code coverage analysis (i.e., checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (i.e., checking for words that are out of place in software code, such as non-English language words or derogatory terms).

+ + + + + +

the developer of the system, system component, or system service is required to employ dynamic code analysis tools to identify common flaws;

+ + + + +

the developer of the system, system component, or system service is required to document the results of the analysis.

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing system developer security testing

+

procedures addressing flaw remediation

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer security test and evaluation plans

+

security test and evaluation results

+

security flaw and remediation tracking reports

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with developer security testing responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+ + + + + + +

Organizational processes for monitoring developer security testing and evaluation

+

mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

+ + + + + Interactive Application Security Testing + + + + + + + + +

Require the developer of the system, system component, or system service to employ interactive application security testing tools to identify flaws and document the results.

+ + +

Interactive (also known as instrumentation-based) application security testing is a method of detecting vulnerabilities by observing applications as they run during testing. The use of instrumentation relies on direct measurements of the actual running applications and uses access to the code, user interaction, libraries, frameworks, backend connections, and configurations to directly measure control effectiveness. When combined with analysis techniques, interactive application security testing can identify a broad range of potential vulnerabilities and confirm control effectiveness. Instrumentation-based testing works in real time and can be used continuously throughout the system development life cycle.

+ + + + + +

the developer of the system, system component, or system service is required to employ interactive application security testing tools to identify flaws;

+ + + + +

the developer of the system, system component, or system service is required to document the results of flaw identification.

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing system developer security testing

+

procedures addressing interactive application security testing

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer security test and evaluation plans

+

security test and evaluation results

+

security flaw and remediation tracking reports

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with developer security testing responsibilities

+

organizational personnel with configuration management responsibilities

+

system developers

+ + + + + + +

Organizational processes for interactive application security testing

+

mechanisms supporting and/or implementing interactive application security testing

+ + + + + + Supply Chain Protection + + + + + + + + Acquisition Strategies / Tools / Methods + + + + + + + + + Supplier Reviews + + + + + + + + + Trusted Shipping and Warehousing + + + + + + + + + Diversity of Suppliers + + + + + + + + + Limitation of Harm + + + + + + + + + Minimizing Procurement Time + + + + + + + + + Assessments Prior to Selection / Acceptance / Update + + + + + + + + + Use of All-source Intelligence + + + + + + + + + Operations Security + + + + + + + + + Validate as Genuine and Not Altered + + + + + + + + + Penetration Testing / Analysis of Elements, Processes, and Actors + + + + + + + + + Inter-organizational Agreements + + + + + + + + + Critical Information System Components + + + + + + + + + + Identity and Traceability + + + + + + + + + + Processes to Address Weaknesses or Deficiencies + + + + + + + + + + Trustworthiness + + + + + + + + + Criticality Analysis + + + + + + + + Critical Components with No Viable Alternative Sourcing + + + + + + + + + + Development Process, Standards, and Tools + + + + + + + + + + +

frequency at which to review the development process, standards, tools, tool options, and tool configurations is defined;

+ + + + + + +

security requirements to be satisfied by the process, standards, tools, tool options, and tool configurations are defined;

+ + + + + + +

privacy requirements to be satisfied by the process, standards, tools, tool options, and tool configurations are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + +

Require the developer of the system, system component, or system service to follow a documented development process that:

+ + +

Explicitly addresses security and privacy requirements;

+ + + +

Identifies the standards and tools used in the development process;

+ + + +

Documents the specific tool options and tool configurations used in the development process; and

+ + + +

Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and

+ + + + +

Review the development process, standards, tools, tool options, and tool configurations to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: .

+ + + +

Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes.

+ + + + + + + + + +

the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses security requirements;

+ + + + +

the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses privacy requirements;

+ + + + + + + + +

the developer of the system, system component, or system service is required to follow a documented development process that identifies the standards used in the development process;

+ + + + +

the developer of the system, system component, or system service is required to follow a documented development process that identifies the tools used in the development process;

+ + + + + + + + +

the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool used in the development process;

+ + + + +

the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool configurations used in the development process;

+ + + + + + +

the developer of the system, system component, or system service is required to follow a documented development process that documents, manages, and ensures the integrity of changes to the process and/or tools used in development;

+ + + + + + + + +

the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy ;

+ + + + +

the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy .

+ + + + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing development process, standards, and tools

+

procedures addressing the integration of security and privacy requirements during the development process

+

solicitation documentation

+

acquisition documentation

+

critical component inventory documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system developer documentation listing tool options/configuration guides

+

configuration management policy

+

configuration management records

+

documentation of development process reviews using maturity models

+

change control records

+

configuration control records

+

documented reviews of the development process, standards, tools, and tool options/configurations

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developer

+ + + + Quality Metrics + + + + + + + + + + +

frequency at which to provide evidence of meeting the quality metrics is defined (if selected);

+ + + + + + + + +

program review milestones are defined (if selected);

+ + + + + + + + + + +

Require the developer of the system, system component, or system service to:

+ + +

Define quality metrics at the beginning of the development process; and

+ + + +

Provide evidence of meeting the quality metrics .

+ + + +

Organizations use quality metrics to establish acceptable levels of system quality. Metrics can include quality gates, which are collections of completion criteria or sufficiency standards that represent the satisfactory execution of specific phases of the system development project. For example, a quality gate may require the elimination of all compiler warnings or a determination that such warnings have no impact on the effectiveness of required security or privacy capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. Metrics can include defining the severity thresholds of vulnerabilities in accordance with organizational risk tolerance, such as requiring no known vulnerabilities in the delivered system with a Common Vulnerability Scoring System (CVSS) severity of medium or high.

+ + + + + +

the developer of the system, system component, or system service is required to define quality metrics at the beginning of the development process;

+ + + + +

the developer of the system, system component, or system service is required to provide evidence of meeting the quality metrics .

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing development process, standards, and tools

+

procedures addressing the integration of security requirements into the acquisition process

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

list of quality metrics

+

documentation evidence of meeting quality metrics

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + Security and Privacy Tracking Tools + + + + + + + + + +

Require the developer of the system, system component, or system service to select and employ security and privacy tracking tools for use during the development process.

+ + +

System development teams select and deploy security and privacy tracking tools, including vulnerability or work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with development processes.

+ + + + + +

the developer of the system, system component, or system service is required to select and employ security tracking tools for use during the development process;

+ + + + +

the developer of the system, system component, or system service is required to select and employ privacy tracking tools for use during the development process.

+ + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing development process, standards, and tools

+

procedures addressing the integration of security and privacy requirements into the acquisition process

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

documentation of the selection of security and privacy tracking tools

+

evidence of employing security and privacy tracking tools

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with privacy responsibilities

+ + + + + Criticality Analysis + + + + + + + + + + + +

decision points in the system development life cycle are defined;

+ + + + + + +

the breadth of criticality analysis is defined;

+ + + + + + +

the depth of criticality analysis is defined;

+ + + + + + + + + + + +

Require the developer of the system, system component, or system service to perform a criticality analysis:

+ + +

At the following decision points in the system development life cycle: ; and

+ + + +

At the following level of rigor: .

+ + + +

Criticality analysis performed by the developer provides input to the criticality analysis performed by organizations. Developer input is essential to organizational criticality analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes functional specifications, high-level designs, low-level designs, source code, and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. High value assets can be moderate- or high-impact systems due to heightened adversarial interest or potential adverse effects on the federal enterprise. Developer input is especially important when organizations conduct supply chain criticality analyses.

+ + + + + +

the developer of the system, system component, or system service is required to perform a criticality analysis at in the system development life cycle;

+ + + + + + +

the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: ;

+ + + + +

the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: .

+ + + + + + + + + + +

Supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing development process, standards, and tools

+

procedures addressing criticality analysis requirements for the system, system component, or system service

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

criticality analysis documentation

+

business impact analysis documentation

+

software development life cycle documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel responsible for performing criticality analysis

+

system developer

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for performing criticality analysis

+

mechanisms supporting and/or implementing criticality analysis

+ + + + + Threat Modeling and Vulnerability Analysis + + + + + + + + + Attack Surface Reduction + + + + + +

thresholds to which attack surfaces are to be reduced are defined;

+ + + + + + + + + + + + + + +

Require the developer of the system, system component, or system service to reduce attack surfaces to .

+ + +

Attack surface reduction is closely aligned with threat and vulnerability analyses and system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within systems, system components, and system services. Attack surface reduction includes implementing the concept of layered defenses, applying the principles of least privilege and least functionality, applying secure software development practices, deprecating unsafe functions, reducing entry points available to unauthorized users, reducing the amount of code that executes, and eliminating application programming interfaces (APIs) that are vulnerable to attacks.

+ + + +

the developer of the system, system component, or system service is required to reduce attack surfaces to .

+ + + + + + +

System and services acquisition policy

+

procedures addressing development process, standards, and tools

+

procedures addressing attack surface reduction

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system or system service

+

system design documentation

+

network diagram

+

system configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces

+

list of restricted ports, protocols, functions, and services

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel responsible for attack surface reduction thresholds

+

system developer

+ + + + + + +

Organizational processes for defining attack surface reduction thresholds

+ + + + + Continuous Improvement + + + + + + + + +

Require the developer of the system, system component, or system service to implement an explicit process to continuously improve the development process.

+ + +

Developers of systems, system components, and system services consider the effectiveness and efficiency of their development processes for meeting quality objectives and addressing the security and privacy capabilities in current threat environments.

+ + + +

the developer of the system, system component, or system service is required to implement an explicit process to continuously improve the development process.

+ + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing development process, standards, and tools

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

quality goals and metrics for improving the system development process

+

security assessments

+

quality control reviews of system development process

+

plans of action and milestones for improving the system development process

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developer

+ + + + + Automated Vulnerability Analysis + + + + + +

frequency at which to conduct vulnerability analysis is defined;

+ + + + + + + +

tools used to perform automated vulnerability analysis are defined;

+ + + + + + + +

personnel or roles to whom the outputs of tools and results of the analysis are to be delivered is/are defined;

+ + + + + + + + + + + + +

Require the developer of the system, system component, or system service to:

+ + +

Perform an automated vulnerability analysis using ;

+ + + +

Determine the exploitation potential for discovered vulnerabilities;

+ + + +

Determine potential risk mitigations for delivered vulnerabilities; and

+ + + +

Deliver the outputs of the tools and results of the analysis to .

+ + + +

Automated tools can be more effective at analyzing exploitable weaknesses or deficiencies in large and complex systems, prioritizing vulnerabilities by severity, and providing recommendations for risk mitigations.

+ + + + + +

the developer of the system, system component, or system service is required to perform automated vulnerability analysis using ;

+ + + + +

the developer of the system, system component, or system service is required to determine the exploitation potential for discovered vulnerabilities ;

+ + + + +

the developer of the system, system component, or system service is required to determine potential risk mitigations for delivered vulnerabilities;

+ + + + +

the developer of the system, system component, or system service is required to deliver the outputs of the tools and results of the analysis to .

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing development process, standards, and tools

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

vulnerability analysis tools and associated documentation

+

risk assessment reports

+

vulnerability analysis results

+

vulnerability mitigation reports

+

risk mitigation strategy documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel performing automated vulnerability analysis on the system

+ + + + + + +

Organizational processes for vulnerability analysis of systems, system components, or system services under development

+

mechanisms supporting and/or implementing vulnerability analysis of systems, system components, or system services under development

+ + + + + Reuse of Threat and Vulnerability Information + + + + + + + + +

Require the developer of the system, system component, or system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.

+ + +

Analysis of vulnerabilities found in similar software applications can inform potential design and implementation issues for systems under development. Similar systems or system components may exist within developer organizations. Vulnerability information is available from a variety of public and private sector sources, including the NIST National Vulnerability Database.

+ + + + + +

the developer of the system, system component, or system service is required to use threat modeling from similar systems, components, or services to inform the current development process;

+ + + + +

the developer of the system, system component, or system service is required to use vulnerability analyses from similar systems, components, or services to inform the current development process.

+ + + + + + + + +

System and services acquisition policy

+

supply chain risk management plan

+

procedures addressing development process, standards, and tools

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

threat modeling and vulnerability analyses from similar systems, system components, or system services

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with supply chain risk management responsibilities

+ + + + + Use of Live Data + + + + + + + + + Incident Response Plan + + + + + + + + + +

Require the developer of the system, system component, or system service to provide, implement, and test an incident response plan.

+ + +

The incident response plan provided by developers may provide information not readily available to organizations and be incorporated into organizational incident response plans. Developer information may also be extremely helpful, such as when organizations respond to vulnerabilities in commercial off-the-shelf products.

+ + + + + +

the developer of the system, system component, or system service is required to provide an incident response plan;

+ + + + +

the developer of the system, system component, or system service is required to implement an incident response plan;

+ + + + +

the developer of the system, system component, or system service is required to test an incident response plan.

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing incident response, standards, and tools

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system components or services

+

acquisition documentation

+

solicitation documentation

+

service level agreements

+

developer incident response plan

+

system security plan

+

privacy plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with supply chain risk management responsibilities

+ + + + + Archive System or Component + + + + + + + + + +

Require the developer of the system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review.

+ + +

Archiving system or system components requires the developer to retain key development artifacts, including hardware specifications, source code, object code, and relevant documentation from the development process that can provide a readily available configuration baseline for system and component upgrades or modifications.

+ + + +

the developer of the system or system component is required to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review.

+ + + + + + +

System and services acquisition policy

+

procedures addressing development process, standards, and tools

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system or system component

+

evidence of archived system or component

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with privacy responsibilities

+ + + + + Minimize Personally Identifiable Information + + + + + + + + + + + +

Require the developer of the system or system component to minimize the use of personally identifiable information in development and test environments.

+ + +

Organizations can minimize the risk to an individual’s privacy by using techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information in development and test environments helps reduce the level of privacy risk created by a system.

+ + + +

the developer of the system or system component is required to minimize the use of personally identifiable information in development and test environments.

+ + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the development process

+

procedures addressing the minimization of personally identifiable information in testing, training, and research

+

personally identifiable information processing policy

+

procedures addressing the authority to test with personally identifiable information

+

standards and tools

+

solicitation documentation

+

service level agreements

+

acquisition contracts for the system or services

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developer

+ + + + + + +

Organizational processes for the minimization of personally identifiable information in development and test environments

+

mechanisms to facilitate the minimization of personally identifiable information in development and test environments

+ + + + + + Developer-provided Training + + + + + +

training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms provided by the developer of the system, system component, or system service is defined;

+ + + + + + + + + + + + + + +

Require the developer of the system, system component, or system service to provide the following training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms: .

+ + +

Developer-provided training applies to external and internal (in-house) developers. Training personnel is essential to ensuring the effectiveness of the controls implemented within organizational systems. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms.

+ + + +

the developer of the system, system component, or system service is required to provide on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms.

+ + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing developer-provided training

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

organizational security and privacy training policy

+

developer-provided training materials

+

training records

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developer

+

external or internal (in-house) developers with training responsibilities for the system, system component, or information system service

+ + + + + Developer Security and Privacy Architecture and Design + + + + + + + + + + + + + + + + + +

Require the developer of the system, system component, or system service to produce a design specification and security and privacy architecture that:

+ + +

Is consistent with the organization’s security and privacy architecture that is an integral part the organization’s enterprise architecture;

+ + + +

Accurately and completely describes the required security and privacy functionality, and the allocation of controls among physical and logical components; and

+ + + +

Expresses how individual security and privacy functions, mechanisms, and services work together to provide required security and privacy capabilities and a unified approach to protection.

+ + + +

Developer security and privacy architecture and design are directed at external developers, although they could also be applied to internal (in-house) development. In contrast, PL-8 is directed at internal developers to ensure that organizations develop a security and privacy architecture that is integrated with the enterprise architecture. The distinction between SA-17 and PL-8 is especially important when organizations outsource the development of systems, system components, or system services and when there is a requirement to demonstrate consistency with the enterprise architecture and security and privacy architecture of the organization. ISO 15408-2, ISO 15408-3 , and SP 800-160-1 provide information on security architecture and design, including formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing.

+ + + + + + + +

the developer of the system, system component, or system service is required to produce a design specification and security architecture that are consistent with the organization’s security architecture, which is an integral part the organization’s enterprise architecture;

+ + + + +

the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that are consistent with the organization’s privacy architecture, which is an integral part the organization’s enterprise architecture;

+ + + + + + + + +

the developer of the system, system component, or system service is required to produce a design specification and security architecture that accurately and completely describe the required security functionality and the allocation of controls among physical and logical components;

+ + + + +

the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that accurately and completely describe the required privacy functionality and the allocation of controls among physical and logical components;

+ + + + + + + + +

the developer of the system, system component, or system service is required to produce a design specification and security architecture that express how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection;

+ + + + +

the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that express how individual privacy functions, mechanisms, and services work together to provide required privacy capabilities and a unified approach to protection.

+ + + + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

enterprise architecture policy

+

enterprise architecture documentation

+

procedures addressing developer security and privacy architecture and design specifications for the system

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system design documentation

+

information system configuration settings and associated documentation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developer

+ + + + Formal Policy Model + + + + + + + + + +

organizational security policy to be enforced is defined;

+ + + + + + +

organizational privacy policy to be enforced is defined;

+ + + + + + + + + + + + + +

Require the developer of the system, system component, or system service to:

+ + +

Produce, as an integral part of the development process, a formal policy model describing the to be enforced; and

+ + + +

Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security and privacy policy when implemented.

+ + + +

Formal models describe specific behaviors or security and privacy policies using formal languages, thus enabling the correctness of those behaviors and policies to be formally proven. Not all components of systems can be modeled. Generally, formal specifications are scoped to the behaviors or policies of interest, such as nondiscretionary access control policies. Organizations choose the formal modeling language and approach based on the nature of the behaviors and policies to be described and the available tools.

+ + + + + + + +

as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal policy model describing the to be enforced;

+ + + + +

as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal policy model describing the to be enforced;

+ + + + + + + + +

the developer of the system, system component, or system service is required to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented;

+ + + + +

the developer of the system, system component, or system service is required to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational privacy policy when implemented.

+ + + + + + + + + + +

System and services acquisition policy

+

system and services acquisition procedures

+

enterprise architecture policy

+

enterprise architecture documentation

+

procedures addressing developer security and privacy architecture and design specifications for the system

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system design documentation

+

system configuration settings and associated documentation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developer

+ + + + + Security-relevant Components + + + + + + + + + + +

Require the developer of the system, system component, or system service to:

+ + +

Define security-relevant hardware, software, and firmware; and

+ + + +

Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete.

+ + + +

The security-relevant hardware, software, and firmware represent the portion of the system, component, or service that is trusted to perform correctly to maintain required security properties.

+ + + + + + + +

the developer of the system, system component, or system service is required to define security-relevant hardware;

+ + + + +

the developer of the system, system component, or system service is required to define security-relevant software;

+ + + + +

the developer of the system, system component, or system service is required to define security-relevant firmware;

+ + + + + + +

the developer of the system, system component, or system service is required to provide a rationale that the definition for security-relevant hardware, software, and firmware is complete.

+ + + + + + + + +

System and services acquisition policy

+

enterprise architecture policy

+

procedures addressing developer security architecture and design specifications for the system

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

list of security-relevant hardware, software, and firmware components

+

documented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developers

+

organizational personnel with information security architecture and design responsibilities

+ + + + + Formal Correspondence + + + + + + + + + + + + + +

Require the developer of the system, system component, or system service to:

+ + +

Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;

+ + + +

Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;

+ + + +

Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

+ + + +

Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and

+ + + +

Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

+ + + +

Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details that are present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal system description, and that the formal system description is correctly implemented by a description of some lower level, including a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to demonstrate such consistency. Consistency between the formal top-level specification and the actual implementation may require the use of an informal demonstration due to limitations on the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms internal to security-relevant components include mapping registers and direct memory input and output.

+ + + + + + + +

as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions;

+ + + + +

as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of error messages;

+ + + + +

as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of effects;

+ + + + + + +

the developer of the system, system component, or system service is required to show proof that the formal top-level specification is consistent with the formal policy model to the extent feasible with additional informal demonstration as necessary;

+ + + + +

the developer of the system, system component, or system service is required to show via informal demonstration that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

+ + + + +

the developer of the system, system component, or system service is required to show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware;

+ + + + +

the developer of the system, system component, or system service is required to describe the security-relevant hardware, software, and firmware mechanisms that are not addressed in the formal top-level specification but are strictly internal to the security-relevant hardware, software, and firmware.

+ + + + + + + + +

System and services acquisition policy

+

enterprise architecture policy

+

formal policy model

+

procedures addressing developer security architecture and design specifications for the system

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

formal top-level specification documentation

+

system security architecture and design documentation

+

system design documentation

+

system configuration settings and associated documentation

+

documentation describing security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with information security architecture and design responsibilities

+ + + + + Informal Correspondence + + + + + + + + + + + + + + + + + + +

Require the developer of the system, system component, or system service to:

+ + +

Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;

+ + + +

Show via that the descriptive top-level specification is consistent with the formal policy model;

+ + + +

Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

+ + + +

Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and

+ + + +

Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

+ + + +

Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that additional code or implementation detail has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include mapping registers and direct memory input and output.

+ + + + + + + +

as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions;

+ + + + +

as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of error messages;

+ + + + +

as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of effects;

+ + + + + + +

the developer of the system, system component, or system service is required to show via that the descriptive top-level specification is consistent with the formal policy model;

+ + + + +

the developer of the system, system component, or system service is required to show via informal demonstration that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

+ + + + +

the developer of the system, system component, or system service is required to show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware;

+ + + + +

the developer of the system, system component, or system service is required to describe the security-relevant hardware, software, and firmware mechanisms that are not addressed in the descriptive top-level specification but are strictly internal to the security-relevant hardware, software, and firmware.

+ + + + + + + + +

System and services acquisition policy

+

enterprise architecture policy

+

formal policy model

+

procedures addressing developer security architecture and design specifications for the system

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

informal, descriptive top-level specification documentation

+

system security architecture and design documentation

+

system design documentation

+

system configuration settings and associated documentation

+

documentation describing security-relevant hardware, software, and firmware mechanisms not addressed in the informal, descriptive top-level specification documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with information security architecture and design responsibilities

+ + + + + Conceptually Simple Design + + + + + + + + + + + +

Require the developer of the system, system component, or system service to:

+ + +

Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and

+ + + +

Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.

+ + + +

The principle of reduced complexity states that the system design is as simple and small as possible (see SA-8(7) ). A small and simple design is easier to understand and analyze and is also less prone to error (see AC-25, SA-8(13) ). The principle of reduced complexity applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions and facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain. That is, simpler systems contain fewer vulnerabilities. An important benefit of reduced complexity is that it is easier to understand whether the security policy has been captured in the system design and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex.

+ + + + + +

the developer of the system, system component, or system service is required to design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics;

+ + + + +

the developer of the system, system component, or system service is required to internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.

+ + + + + + + + +

System and services acquisition policy

+

enterprise architecture policy

+

procedures addressing developer security architecture and design specifications for the system

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system design documentation

+

system security architecture documentation

+

system configuration settings and associated documentation

+

developer documentation describing the design and structure of security-relevant hardware, software, and firmware components

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with information security architecture and design responsibilities

+ + + + + Structure for Testing + + + + + + + + + + +

Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate testing.

+ + +

Applying the security design principles in SP 800-160-1 promotes complete, consistent, and comprehensive testing and evaluation of systems, system components, and services. The thoroughness of such testing contributes to the evidence produced to generate an effective assurance case or argument as to the trustworthiness of the system, system component, or service.

+ + + +

the developer of the system, system component, or system service is required to structure security-relevant hardware, software, and firmware to facilitate testing.

+ + + + + + +

System and services acquisition policy

+

enterprise architecture policy

+

procedures addressing developer security architecture and design specifications for the system

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system design documentation

+

system security architecture documentation

+

privacy architecture documentation

+

system configuration settings and associated documentation

+

developer documentation describing the design and structure of security-relevant hardware, software, and firmware components to facilitate testing

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developer

+

organizational personnel with information security and privacy architecture and design responsibilities

+ + + + + Structure for Least Privilege + + + + + + + + + + + +

Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.

+ + +

The principle of least privilege states that each component is allocated sufficient privileges to accomplish its specified functions but no more (see SA-8(14) ). Applying the principle of least privilege limits the scope of the component’s actions, which has two desirable effects. First, the security impact of a failure, corruption, or misuse of the system component results in a minimized security impact. Second, the security analysis of the component is simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who only has a need to view the audit data that has been collected but no need to perform operations on that data.

+

In addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated upon by the functions within the module. Elements external to a module that may be affected by the module’s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality, and the access modes to the elements (e.g., read, write) are minimal.

+ + + +

the developer of the system, system component, or system service is required to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.

+ + + + + + +

System and services acquisition policy

+

enterprise architecture policy

+

procedures addressing developer security architecture and design specifications for the system

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system design documentation

+

system security architecture documentation

+

system configuration settings and associated documentation

+

developer documentation describing the design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with information security architecture and design responsibilities

+ + + + + Orchestration + + + + + + +

critical systems or system components are defined;

+ + + + + + + + +

capabilities to be implemented by systems or components are defined;

+ + + + + + + + + + +

Design with coordinated behavior to implement the following capabilities: .

+ + +

Security resources that are distributed, located at different layers or in different system elements, or are implemented to support different aspects of trustworthiness can interact in unforeseen or incorrect ways. Adverse consequences can include cascading failures, interference, or coverage gaps. Coordination of the behavior of security resources (e.g., by ensuring that one patch is installed across all resources before making a configuration change that assumes that the patch is propagated) can avert such negative interactions.

+ + + +

are designed with coordinated behavior to implement .

+ + + + + + +

System and services acquisition policy

+

enterprise architecture policy

+

procedures addressing developer security and privacy architecture and design

+

enterprise architecture

+

security architecture

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system design documentation

+

system configuration settings and associated documentation

+

developer documentation describing design orchestration

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

system developer

+

organizational personnel with information security architecture responsibilities

+ + + + + Design Diversity + + + + + + +

critical systems or system components to be designed differently are defined;

+ + + + + + + + + + +

Use different designs for to satisfy a common set of requirements or to provide equivalent functionality.

+ + +

Design diversity is achieved by supplying the same requirements specification to multiple developers, each of whom is responsible for developing a variant of the system or system component that meets the requirements. Variants can be in software design, in hardware design, or in both hardware and a software design. Differences in the designs of the variants can result from developer experience (e.g., prior use of a design pattern), design style (e.g., when decomposing a required function into smaller tasks, determining what constitutes a separate task and how far to decompose tasks into sub-tasks), selection of libraries to incorporate into the variant, and the development environment (e.g., different design tools make some design patterns easier to visualize). Hardware design diversity includes making different decisions about what information to keep in analog form and what information to convert to digital form, transmitting the same information at different times, and introducing delays in sampling (temporal diversity). Design diversity is commonly used to support fault tolerance.

+ + + +

different designs are used for to satisfy a common set of requirements or to provide equivalent functionality.

+ + + + + + +

System and services acquisition policy

+

enterprise architecture policy

+

procedures addressing developer security architecture and design diversity for the system

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system design documentation

+

system security architecture documentation

+

system configuration settings and associated documentation

+

developer documentation describing design diversity

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with information security architecture responsibilities

+ + + + + + Tamper Resistance and Detection + + + + + + + + Multiple Phases of System Development Life Cycle + + + + + + + + + Inspection of Systems or Components + + + + + + + + + Component Authenticity + + + + + + + + Anti-counterfeit Training + + + + + + + + + Configuration Control for Component Service and Repair + + + + + + + + + Component Disposal + + + + + + + + + Anti-counterfeit Scanning + + + + + + + + + + Customized Development of Critical Components + + + + + + +

critical system components to be reimplemented or custom-developed are defined;

+ + + + + + + + + + + + + +

Reimplement or custom develop the following critical system components: .

+ + +

Organizations determine that certain system components likely cannot be trusted due to specific threats to and vulnerabilities in those components for which there are no viable security controls to adequately mitigate risk. Reimplementation or custom development of such components may satisfy requirements for higher assurance and is carried out by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to reimplement or custom develop critical system components, additional controls can be employed. Controls include enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.

+ + + +

are reimplemented or custom-developed.

+ + + + + + +

Supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing the customized development of critical system components

+

system design documentation

+

system configuration settings and associated documentation

+

system development life cycle documentation addressing the custom development of critical system components

+

configuration management records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibility for the reimplementation or customized development of critical system components

+ + + + + + +

Organizational processes for the reimplementation or customized development of critical system components

+

mechanisms supporting and/or implementing the reimplementation or customized development of critical system components

+ + + + + Developer Screening + + + + + + +

the system, systems component, or system service that the developer has access to is/are defined;

+ + + + + + + +

official government duties assigned to the developer are defined;

+ + + + + + + +

additional personnel screening criteria for the developer are defined;

+ + + + + + + + + + + + + + + +

Require that the developer of :

+ + +

Has appropriate access authorizations as determined by assigned ; and

+ + + +

Satisfies the following additional personnel screening criteria: .

+ + + +

Developer screening is directed at external developers. Internal developer screening is addressed by PS-3 . Because the system, system component, or system service may be used in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that developers are trustworthy. The degree of trust required of developers may need to be consistent with that of the individuals who access the systems, system components, or system services once deployed. Authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Developer trustworthiness may also include a review and analysis of company ownership and relationships that the company has with entities that may potentially affect the quality and reliability of the systems, components, or services being developed. Satisfying the required access authorizations and personnel screening criteria includes providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements.

+ + + + + +

the developer of is required to have appropriate access authorizations as determined by assigned ;

+ + + + +

the developer of is required to satisfy .

+ + + + + + + + +

System and services acquisition policy

+

personnel security policy and procedures

+

procedures addressing personnel screening

+

system design documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for developer services

+

system configuration settings and associated documentation

+

list of appropriate access authorizations required by the developers of the system

+

personnel screening criteria and associated documentation

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel responsible for developer screening

+ + + + + + +

Organizational processes for developer screening

+

mechanisms supporting developer screening

+ + + + Validation of Screening + + + + + + + + + + Unsupported System Components + + + + + + + + + + +

support from external providers is defined (if selected);

+ + + + + + + + + + + + + +

Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or

+ + + +

Provide the following options for alternative sources for continued support for unsupported components .

+ + + +

Support for system components includes software patches, firmware updates, replacement parts, and maintenance contracts. An example of unsupported components includes when vendors no longer provide critical software patches or product updates, which can result in an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components include systems that provide critical mission or business capabilities where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.

+

Alternative sources for support address the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business functions. If necessary, organizations can establish in-house support by developing customized patches for critical software components or, alternatively, obtain the services of external providers who provide ongoing support for the designated unsupported components through contractual relationships. Such contractual relationships can include open-source software value-added vendors. The increased risk of using unsupported system components can be mitigated, for example, by prohibiting the connection of such components to public or uncontrolled networks, or implementing other forms of isolation.

+ + + + + +

system components are replaced when support for the components is no longer available from the developer, vendor, or manufacturer;

+ + + + +

provide options for alternative sources for continued support for unsupported components.

+ + + + + + + + +

System and services acquisition policy

+

procedures addressing the replacement or continued use of unsupported system components

+

documented evidence of replacing unsupported system components

+

documented approvals (including justification) for the continued use of unsupported system components

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with the responsibility for the system development life cycle

+

organizational personnel responsible for component replacement

+ + + + + + +

Organizational processes for replacing unsupported system components

+

mechanisms supporting and/or implementing the replacement of unsupported system components

+ + + + Alternative Sources for Continued Support + + + + + + + + + + Specialization + + + + + + + + + + +

systems or system components supporting mission-essential services or functions are defined;

+ + + + + + + + + + + + + +

Employ on supporting mission essential services or functions to increase the trustworthiness in those systems or components.

+ + +

It is often necessary for a system or system component that supports mission-essential services or functions to be enhanced to maximize the trustworthiness of the resource. Sometimes this enhancement is done at the design level. In other instances, it is done post-design, either through modifications of the system in question or by augmenting the system with additional components. For example, supplemental authentication or non-repudiation functions may be added to the system to enhance the identity of critical resources to other resources that depend on the organization-defined resources.

+ + + +

is employed on supporting essential services or functions to increase the trustworthiness in those systems or components.

+ + + + + + +

System and services acquisition policy

+

procedures addressing design modification, augmentation, or reconfiguration of systems or system components

+

documented evidence of design modification, augmentation, or reconfiguration

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with the responsibility for security architecture

+

organizational personnel responsible for configuration management

+ + + + + + +

Organizational processes for the modification of design, augmentation, or reconfiguration of systems or system components

+

mechanisms supporting and/or implementing design modification, augmentation, or reconfiguration of systems or system components

+ + + + + + System and Communications Protection + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the system and communications protection policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the system and communications protection procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the system and communications protection policy and procedures is defined;

+ + + + + + + +

the frequency at which the current system and communications protection policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current system and communications protection policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current system and communications protection procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require the system and communications protection procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

system and communications protection policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and

+ + + +

Review and update the current system and communications protection:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

System and communications protection policy and procedures address the controls in the SC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and communications protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and communications protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a system and communications protection policy is developed and documented;

+ + + + +

the system and communications protection policy is disseminated to ;

+ + + + +

system and communications protection procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls are developed and documented;

+ + + + +

the system and communications protection procedures are disseminated to ;

+ + + + + + + + +

the system and communications protection policy addresses purpose;

+ + + + +

the system and communications protection policy addresses scope;

+ + + + +

the system and communications protection policy addresses roles;

+ + + + +

the system and communications protection policy addresses responsibilities;

+ + + + +

the system and communications protection policy addresses management commitment;

+ + + + +

the system and communications protection policy addresses coordination among organizational entities;

+ + + + +

the system and communications protection policy addresses compliance;

+ + + + + + +

the system and communications protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the system and communications protection policy and procedures;

+ + + + + + + + +

the current system and communications protection policy is reviewed and updated ;

+ + + + +

the current system and communications protection policy is reviewed and updated following ;

+ + + + + + + + +

the current system and communications protection procedures are reviewed and updated ;

+ + + + +

the current system and communications protection procedures are reviewed and updated following .

+ + + + + + + + + + + + +

System and communications protection policy

+

system and communications protection procedures

+

system security plan

+

privacy plan

+

risk management strategy documentation

+

audit findings

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and communications protection responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Separation of System and User Functionality + + + + + + + + + + + + + + + +

Separate user functionality, including user interface services, from system management functionality.

+ + +

System management functionality includes functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is physical or logical. Organizations may separate system management functions from user functions by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. Separation of system management functions from user functions includes web administrative interfaces that employ separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls. The separation of system and user functionality can be achieved by applying the systems security engineering design principles in SA-8 , including SA-8(1), SA-8(3), SA-8(4), SA-8(10), SA-8(12), SA-8(13), SA-8(14) , and SA-8(18).

+ + + +

user functionality, including user interface services, is separated from system management functionality.

+ + + + + + +

System and communications protection policy

+

procedures addressing application partitioning

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Separation of user functionality from system management functionality

+ + + + Interfaces for Non-privileged Users + + + + + + + + + +

Prevent the presentation of system management functionality at interfaces to non-privileged users.

+ + +

Preventing the presentation of system management functionality at interfaces to non-privileged users ensures that system administration options, including administrator privileges, are not available to the general user population. Restricting user access also prohibits the use of the grey-out option commonly used to eliminate accessibility to such information. One potential solution is to withhold system administration options until users establish sessions with administrator privileges.

+ + + +

the presentation of system management functionality is prevented at interfaces to non-privileged users.

+ + + + + + +

System and communications protection policy

+

procedures addressing application partitioning

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

non-privileged users of the system

+

system developer

+ + + + + + +

Separation of user functionality from system management functionality

+ + + + + Disassociability + + + + + + + + +

Store state information from applications and software separately.

+ + +

If a system is compromised, storing applications and software separately from state information about users’ interactions with an application may better protect individuals’ privacy.

+ + + +

state information is stored separately from applications and software.

+ + + + + + +

System and communications protection policy

+

procedures addressing application and software partitioning

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developer

+ + + + + + +

Separation of application state information from software

+ + + + + + Security Function Isolation + + + + + + + + + + + + + + + + + + + + + + +

Isolate security functions from nonsecurity functions.

+ + +

Security functions are isolated from nonsecurity functions by means of an isolation boundary implemented within a system via partitions and domains. The isolation boundary controls access to and protects the integrity of the hardware, software, and firmware that perform system security functions. Systems implement code separation in many ways, such as through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that protect the code on disk and address space protections that protect executing code. Systems can restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all code within the defined security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions as an exception. The isolation of security functions from nonsecurity functions can be achieved by applying the systems security engineering design principles in SA-8 , including SA-8(1), SA-8(3), SA-8(4), SA-8(10), SA-8(12), SA-8(13), SA-8(14) , and SA-8(18).

+ + + +

security functions are isolated from non-security functions.

+ + + + + + +

System and communications protection policy

+

procedures addressing security function isolation

+

list of security functions to be isolated from non-security functions

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Separation of security functions from non-security functions within the system

+ + + + Hardware Separation + + + + + + + + +

Employ hardware separation mechanisms to implement security function isolation.

+ + +

Hardware separation mechanisms include hardware ring architectures that are implemented within microprocessors and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).

+ + + +

hardware separation mechanisms are employed to implement security function isolation.

+ + + + + + +

System and communications protection policy

+

procedures addressing security function isolation

+

system design documentation

+

hardware separation mechanisms

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Separation of security functions from non-security functions within the system

+ + + + + Access and Flow Control Functions + + + + + + + + +

Isolate security functions enforcing access and information flow control from nonsecurity functions and from other security functions.

+ + +

Security function isolation occurs because of implementation. The functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include auditing, intrusion detection, and malicious code protection functions.

+ + + + + +

security functions enforcing access control are isolated from non-security functions;

+ + + + +

security functions enforcing access control are isolated from other security functions;

+ + + + +

security functions enforcing information flow control are isolated from non-security functions;

+ + + + +

security functions enforcing information flow control are isolated from other security functions.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing security function isolation

+

list of critical security functions

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Isolation of security functions enforcing access and information flow control

+ + + + + Minimize Nonsecurity Functionality + + + + + + + + + +

Minimize the number of nonsecurity functions included within the isolation boundary containing security functions.

+ + +

Where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or malicious code in the software can directly impact the security functions of systems. The fundamental design objective is that the specific portions of systems that provide information security are of minimal size and complexity. Minimizing the number of nonsecurity functions in the security-relevant system components allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing the nonsecurity functions within the isolation boundaries, the amount of code that is trusted to enforce security policies is significantly reduced, thus contributing to understandability.

+ + + +

the number of non-security functions included within the isolation boundary containing security functions is minimized.

+ + + + + + +

System and communications protection policy

+

procedures addressing security function isolation

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing an isolation boundary

+ + + + + Module Coupling and Cohesiveness + + + + + + + + + +

Implement security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.

+ + +

The reduction of inter-module interactions helps to constrain security functions and manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between functions within a module. Best practices in software engineering and systems security engineering rely on layering, minimization, and modular decomposition to reduce and manage complexity. This produces software modules that are highly cohesive and loosely coupled.

+ + + + + +

security functions are implemented as largely independent modules that maximize internal cohesiveness within modules;

+ + + + +

security functions are implemented as largely independent modules that minimize coupling between modules.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing security function isolation

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules

+

mechanisms supporting and/or implementing security functions as independent modules

+ + + + + Layered Structures + + + + + + + + + +

Implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.

+ + +

The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) enables the isolation of security functions and the management of complexity.

+ + + +

security functions are implemented as a layered structure, minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.

+ + + + + + +

System and communications protection policy

+

procedures addressing security function isolation

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers

+

mechanisms supporting and/or implementing security functions as a layered structure

+ + + + + + Information in Shared System Resources + + + + + + + + + +

Prevent unauthorized and unintended information transfer via shared system resources.

+ + +

Preventing unauthorized and unintended information transfer via shared system resources stops information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. Information in shared system resources also applies to encrypted representations of information. In other contexts, control of information in shared system resources is referred to as object reuse and residual information protection. Information in shared system resources does not address information remanence, which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels), where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles.

+ + + + + +

unauthorized information transfer via shared system resources is prevented;

+ + + + +

unintended information transfer via shared system resources is prevented.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing information protection in shared system resources

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms preventing the unauthorized and unintended transfer of information via shared system resources

+ + + + Security Levels + + + + + + + + + Multilevel or Periods Processing + + + + + +

procedures to prevent unauthorized information transfer via shared resources are defined;

+ + + + + + + + + +

Prevent unauthorized information transfer via shared resources in accordance with when system processing explicitly switches between different information classification levels or security categories.

+ + +

Changes in processing levels can occur during multilevel or periods processing with information at different classification levels or security categories. It can also occur during serial reuse of hardware components at different classification levels. Organization-defined procedures can include approved sanitization processes for electronically stored information.

+ + + +

unauthorized information transfer via shared resources is prevented in accordance with when system processing explicitly switches between different information classification levels or security categories.

+ + + + + + +

System and communications protection policy

+

procedures addressing information protection in shared system resources

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms preventing the unauthorized transfer of information via shared system resources

+ + + + + + Denial-of-service Protection + + + + + +

types of denial-of-service events to be protected against or limited are defined;

+ + + + + + + + + + + + +

controls to achieve the denial-of-service objective by type of denial-of-service event are defined;

+ + + + + + + + + + + + + + + + +

the effects of the following types of denial-of-service events: ; and

+ + + +

Employ the following controls to achieve the denial-of-service objective: .

+ + + +

Denial-of-service events may occur due to a variety of internal and external causes, such as an attack by an adversary or a lack of planning to support organizational needs with respect to capacity and bandwidth. Such attacks can occur across a wide range of network protocols (e.g., IPv4, IPv6). A variety of technologies are available to limit or eliminate the origination and effects of denial-of-service events. For example, boundary protection devices can filter certain types of packets to protect system components on internal networks from being directly affected by or the source of denial-of-service attacks. Employing increased network capacity and bandwidth combined with service redundancy also reduces the susceptibility to denial-of-service events.

+ + + + + +

the effects of are ;

+ + + + +

are employed to achieve the denial-of-service protection objective.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing denial-of-service protection

+

system design documentation

+

list of denial-of-service attacks requiring employment of security safeguards to protect against or limit effects of such attacks

+

list of security safeguards protecting against or limiting the effects of denial-of-service attacks

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with incident response responsibilities

+

system developer

+ + + + + + +

Mechanisms protecting against or limiting the effects of denial-of-service attacks

+ + + + Restrict Ability to Attack Other Systems + + + + + +

denial-of-service attacks for which to restrict the ability of individuals to launch are defined;

+ + + + + + + + + +

Restrict the ability of individuals to launch the following denial-of-service attacks against other systems: .

+ + +

Restricting the ability of individuals to launch denial-of-service attacks requires the mechanisms commonly used for such attacks to be unavailable. Individuals of concern include hostile insiders or external adversaries who have breached or compromised the system and are using it to launch a denial-of-service attack. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., wired networks, wireless networks, spoofed Internet protocol packets). Organizations can also limit the ability of individuals to use excessive system resources. Protection against individuals having the ability to launch denial-of-service attacks may be implemented on specific systems or boundary devices that prohibit egress to potential target systems.

+ + + +

the ability of individuals to launch against other systems is restricted.

+ + + + + + +

System and communications protection policy

+

procedures addressing denial-of-service protection

+

system design documentation

+

list of denial-of-service attacks launched by individuals against systems

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with incident response responsibilities

+

system developer

+ + + + + + +

Mechanisms restricting the ability to launch denial-of-service attacks against other systems

+ + + + + Capacity, Bandwidth, and Redundancy + + + + + + + +

Manage capacity, bandwidth, or other redundancy to limit the effects of information flooding denial-of-service attacks.

+ + +

Managing capacity ensures that sufficient capacity is available to counter flooding attacks. Managing capacity includes establishing selected usage priorities, quotas, partitioning, or load balancing.

+ + + +

capacity, bandwidth, or other redundancies to limit the effects of information flooding denial-of-service attacks are managed.

+ + + + + + +

System and communications protection policy

+

procedures addressing denial-of-service protection

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with incident response responsibilities

+

system developer

+ + + + + + +

Mechanisms implementing the management of system bandwidth, capacity, and redundancy to limit the effects of information flooding denial-of-service attacks

+ + + + + Detection and Monitoring + + + + + +

monitoring tools for detecting indicators of denial-of-service attacks are defined;

+ + + + + + + +

system resources to be monitored to determine if sufficient resources exist to prevent effective denial-of-service attacks are defined;

+ + + + + + + + + + + + + +

Employ the following monitoring tools to detect indicators of denial-of-service attacks against, or launched from, the system: ; and

+ + + +

Monitor the following system resources to determine if sufficient resources exist to prevent effective denial-of-service attacks: .

+ + + +

Organizations consider the utilization and capacity of system resources when managing risk associated with a denial of service due to malicious attacks. Denial-of-service attacks can originate from external or internal sources. System resources that are sensitive to denial of service include physical disk storage, memory, and CPU cycles. Techniques used to prevent denial-of-service attacks related to storage utilization and capacity include instituting disk quotas, configuring systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data.

+ + + + + +

are employed to detect indicators of denial-of-service attacks against or launched from the system;

+ + + + +

are monitored to determine if sufficient resources exist to prevent effective denial-of-service attacks.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing denial-of-service protection

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with detection and monitoring responsibilities

+ + + + + + +

Mechanisms/tools implementing system monitoring for denial-of-service attacks

+ + + + + + Resource Availability + + + + + +

resources to be allocated to protect the availability of resources are defined;

+ + + + + + + + + + + + +

controls to protect the availability of resources are defined (if selected);

+ + + + + + + + + + + + +

Protect the availability of resources by allocating by .

+ + +

Priority protection prevents lower-priority processes from delaying or interfering with the system that services higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources.

+ + + +

the availability of resources is protected by allocating by .

+ + + + + + +

System and communications protection policy

+

procedures addressing prioritization of system resources

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing a resource allocation capability

+

safeguards employed to protect availability of resources

+ + + + + Boundary Protection + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system;

+ + + +

Implement subnetworks for publicly accessible system components that are separated from internal organizational networks; and

+ + + +

Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture.

+ + + +

Managed interfaces include gateways, routers, firewalls, guards, network-based malicious code analysis, virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses. SP 800-189 provides additional information on source address validation techniques to prevent ingress and egress of traffic with spoofed addresses. Commercial telecommunications services are provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions. Boundary protection may be implemented as a common control for all or part of an organizational network such that the boundary to be protected is greater than a system-specific boundary (i.e., an authorization boundary).

+ + + + + + + +

communications at external managed interfaces to the system are monitored;

+ + + + +

communications at external managed interfaces to the system are controlled;

+ + + + +

communications at key internal managed interfaces within the system are monitored;

+ + + + +

communications at key internal managed interfaces within the system are controlled;

+ + + + + + +

subnetworks for publicly accessible system components are separated from internal organizational networks;

+ + + + +

external networks or systems are only connected to through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

list of key internal boundaries of the system

+

system design documentation

+

boundary protection hardware and software

+

system configuration settings and associated documentation

+

enterprise security architecture documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms implementing boundary protection capabilities

+ + + + Physically Separated Subnetworks + + + + + + + + + Public Access + + + + + + + + + Access Points + + + + + + + +

Limit the number of external network connections to the system.

+ + +

Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection DHS TIC initiative is an example of a federal guideline that requires limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system.

+ + + +

the number of external network connections to the system is limited.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

boundary protection hardware and software

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

communications and network traffic monitoring logs

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms implementing boundary protection capabilities

+

mechanisms limiting the number of external network connections to the system

+ + + + + External Telecommunications Services + + + + + +

the frequency at which to review exceptions to traffic flow policy is defined;

+ + + + + + + + + + + + + + + + +

Implement a managed interface for each external telecommunication service;

+ + + +

Establish a traffic flow policy for each managed interface;

+ + + +

Protect the confidentiality and integrity of the information being transmitted across each interface;

+ + + +

Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need;

+ + + +

Review exceptions to the traffic flow policy and remove exceptions that are no longer supported by an explicit mission or business need;

+ + + +

Prevent unauthorized exchange of control plane traffic with external networks;

+ + + +

Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and

+ + + +

Filter unauthorized control plane traffic from external networks.

+ + + +

External telecommunications services can provide data and/or voice communications services. Examples of control plane traffic include Border Gateway Protocol (BGP) routing, Domain Name System (DNS), and management protocols. See SP 800-189 for additional information on the use of the resource public key infrastructure (RPKI) to protect BGP routes and detect unauthorized BGP announcements.

+ + + + + +

a managed interface is implemented for each external telecommunication service;

+ + + + +

a traffic flow policy is established for each managed interface;

+ + + + + + +

the confidentiality of the information being transmitted across each interface is protected;

+ + + + +

the integrity of the information being transmitted across each interface is protected;

+ + + + + + +

each exception to the traffic flow policy is documented with a supporting mission or business need and duration of that need;

+ + + + + + +

exceptions to the traffic flow policy are reviewed ;

+ + + + +

exceptions to the traffic flow policy that are no longer supported by an explicit mission or business need are removed;

+ + + + + + +

unauthorized exchanges of control plan traffic with external networks are prevented;

+ + + + +

information is published to enable remote networks to detect unauthorized control plane traffic from internal networks;

+ + + + +

unauthorized control plane traffic is filtered from external networks.

+ + + + + + + + +

System and communications protection policy

+

traffic flow policy

+

information flow control policy

+

procedures addressing boundary protection

+

system security architecture

+

system design documentation

+

boundary protection hardware and software

+

system architecture and configuration documentation

+

system configuration settings and associated documentation

+

records of traffic flow policy exceptions

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Organizational processes for documenting and reviewing exceptions to the traffic flow policy

+

organizational processes for removing exceptions to the traffic flow policy

+

mechanisms implementing boundary protection capabilities

+

managed interfaces implementing traffic flow policy

+ + + + + Deny by Default — Allow by Exception + + + + + + + + + + +

systems for which network communications traffic is denied by default and network communications traffic is allowed by exception are defined (if selected).

+ + + + + + + + + +

Deny network communications traffic by default and allow network communications traffic by exception .

+ + +

Denying by default and allowing by exception applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections that are essential and approved are allowed. Deny by default, allow by exception also applies to a system that is connected to an external system.

+ + + + + +

network communications traffic is denied by default ;

+ + + + +

network communications traffic is allowed by exception .

+ + + + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms implementing traffic management at managed interfaces

+ + + + + Response to Recognized Failures + + + + + + + + + Split Tunneling for Remote Devices + + + + + +

safeguards to securely provision split tunneling are defined;

+ + + + + + + + + +

Prevent split tunneling for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using .

+ + +

Split tunneling is the process of allowing a remote user or device to establish a non-remote connection with a system and simultaneously communicate via some other connection to a resource in an external network. This method of network access enables a user to access remote devices and simultaneously, access uncontrolled networks. Split tunneling might be desirable by remote users to communicate with local system resources, such as printers or file servers. However, split tunneling can facilitate unauthorized external connections, making the system vulnerable to attack and to exfiltration of organizational information. Split tunneling can be prevented by disabling configuration settings that allow such capability in remote devices and by preventing those configuration settings from being configurable by users. Prevention can also be achieved by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. A virtual private network (VPN) can be used to securely provision a split tunnel. A securely provisioned VPN includes locking connectivity to exclusive, managed, and named environments, or to a specific set of pre-approved addresses, without user control.

+ + + +

split tunneling is prevented for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using .

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms implementing boundary protection capabilities

+

mechanisms supporting/restricting non-remote connections

+ + + + + Route Traffic to Authenticated Proxy Servers + + + + + +

internal communications traffic to be routed to external networks is defined;

+ + + + + + + +

external networks to which internal communications traffic is to be routed are defined;

+ + + + + + + + + + +

Route to through authenticated proxy servers at managed interfaces.

+ + +

External networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. System resources that may be requested include files, connections, web pages, or services. Client requests established through a connection to a proxy server are assessed to manage complexity and provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers that provide access to the Internet. Proxy servers can support the logging of Transmission Control Protocol sessions and the blocking of specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites. Note that proxy servers may inhibit the use of virtual private networks (VPNs) and create the potential for man-in-the-middle attacks (depending on the implementation).

+ + + +

is routed to through authenticated proxy servers at managed interfaces.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms implementing traffic management through authenticated proxy servers at managed interfaces

+ + + + + Restrict Threatening Outgoing Communications Traffic + + + + + + + + + + + + + + + + +

Detect and deny outgoing communications traffic posing a threat to external systems; and

+ + + +

Audit the identity of internal users associated with denied communications.

+ + + +

Detecting outgoing communications traffic from internal actions that may pose threats to external systems is known as extrusion detection. Extrusion detection is carried out within the system at managed interfaces. Extrusion detection includes the analysis of incoming and outgoing communications traffic while searching for indications of internal threats to the security of external systems. Internal threats to external systems include traffic indicative of denial-of-service attacks, traffic with spoofed source addresses, and traffic that contains malicious code. Organizations have criteria to determine, update, and manage identified threats related to extrusion detection.

+ + + + + + + +

outgoing communications traffic posing a threat to external systems is detected;

+ + + + +

outgoing communications traffic posing a threat to external systems is denied;

+ + + + + + +

the identity of internal users associated with denied communications is audited.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms implementing boundary protection capabilities

+

mechanisms implementing the detection and denial of threatening outgoing communications traffic

+

mechanisms implementing auditing of outgoing communications traffic

+ + + + + Prevent Exfiltration + + + + + +

the frequency for conducting exfiltration tests is defined;

+ + + + + + + + + + + + + + +

Prevent the exfiltration of information; and

+ + + +

Conduct exfiltration tests .

+ + + +

Prevention of exfiltration applies to both the intentional and unintentional exfiltration of information. Techniques used to prevent the exfiltration of information from systems may be implemented at internal endpoints, external boundaries, and across managed interfaces and include adherence to protocol formats, monitoring for beaconing activity from systems, disconnecting external network interfaces except when explicitly needed, employing traffic profile analysis to detect deviations from the volume and types of traffic expected, call backs to command and control centers, conducting penetration testing, monitoring for steganography, disassembling and reassembling packet headers, and using data loss and data leakage prevention tools. Devices that enforce strict adherence to protocol formats include deep packet inspection firewalls and Extensible Markup Language (XML) gateways. The devices verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices that operate at the network or transport layers. The prevention of exfiltration is similar to data loss prevention or data leakage prevention and is closely associated with cross-domain solutions and system guards that enforce information flow requirements.

+ + + + + +

the exfiltration of information is prevented;

+ + + + +

exfiltration tests are conducted .

+ + + + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms implementing boundary protection capabilities that prevent the unauthorized exfiltration of information across managed interfaces

+ + + + + Restrict Incoming Communications Traffic + + + + + +

authorized sources of incoming communications to be routed are defined;

+ + + + + + + +

authorized destinations to which incoming communications from authorized sources may be routed are defined;

+ + + + + + + + + + +

Only allow incoming communications from to be routed to .

+ + +

General source address validation techniques are applied to restrict the use of illegal and unallocated source addresses as well as source addresses that should only be used within the system. The restriction of incoming communications traffic provides determinations that source and destination address pairs represent authorized or allowed communications. Determinations can be based on several factors, including the presence of such address pairs in the lists of authorized or allowed communications, the absence of such address pairs in lists of unauthorized or disallowed pairs, or meeting more general rules for authorized or allowed source and destination pairs. Strong authentication of network addresses is not possible without the use of explicit security protocols, and thus, addresses can often be spoofed. Further, identity-based incoming traffic restriction methods can be employed, including router access control lists and firewall rules.

+ + + +

only incoming communications from are allowed to be routed to .

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms implementing boundary protection capabilities with respect to source/destination address pairs

+ + + + + Host-based Protection + + + + + +

host-based boundary protection mechanisms to be implemented are defined;

+ + + + + + + +

system components where host-based boundary protection mechanisms are to be implemented are defined;

+ + + + + + + + + +

Implement at .

+ + +

Host-based boundary protection mechanisms include host-based firewalls. System components that employ host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices.

+ + + +

are implemented at .

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

boundary protection hardware and software

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with boundary protection responsibilities

+

system users

+ + + + + + +

Mechanisms implementing host-based boundary protection capabilities

+ + + + + Isolation of Security Tools, Mechanisms, and Support Components + + + + + +

information security tools, mechanisms, and support components to be isolated from other internal system components are defined;

+ + + + + + + + + + + +

Isolate from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system.

+ + +

Physically separate subnetworks with managed interfaces are useful in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques employed by organizations.

+ + + +

are isolated from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

list of security tools and support components to be isolated from other internal system components

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the isolation of information security tools, mechanisms, and support components

+ + + + + Protect Against Unauthorized Physical Connections + + + + + +

managed interfaces to be protected against unauthorized physical connections are defined;

+ + + + + + + + + + + +

Protect against unauthorized physical connections at .

+ + +

Systems that operate at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within the same facilities. In practice, it is possible that these separate systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved by using clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls that enforce limited authorized access to these items.

+ + + +

are protected against unauthorized physical connections.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

facility communications and wiring diagram system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing protection against unauthorized physical connections

+ + + + + Networked Privileged Accesses + + + + + + + + + + + +

Route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.

+ + +

Privileged access provides greater accessibility to system functions, including security functions. Adversaries attempt to gain privileged access to systems through remote access to cause adverse mission or business impacts, such as by exfiltrating information or bringing down a critical system capability. Routing networked, privileged access requests through a dedicated, managed interface further restricts privileged access for increased access control and auditing.

+ + + + + +

networked, privileged accesses are routed through a dedicated, managed interface for purposes of access control;

+ + + + +

networked, privileged accesses are routed through a dedicated, managed interface for purposes of auditing.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

audit logs

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated, managed interfaces

+ + + + + Prevent Discovery of System Components + + + + + + + +

Prevent the discovery of specific system components that represent a managed interface.

+ + +

Preventing the discovery of system components representing a managed interface helps protect network addresses of those components from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery and require prior knowledge for access. Preventing the discovery of components and devices can be accomplished by not publishing network addresses, using network address translation, or not entering the addresses in domain name systems. Another prevention technique is to periodically change network addresses.

+ + + +

the discovery of specific system components that represent a managed interface is prevented.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces

+ + + + + Automated Enforcement of Protocol Formats + + + + + + + + +

Enforce adherence to protocol formats.

+ + +

System components that enforce protocol formats include deep packet inspection firewalls and XML gateways. The components verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers.

+ + + +

adherence to protocol formats is enforced.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the enforcement of adherence to protocol formats

+ + + + + Fail Secure + + + + + + + + + + + +

Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device.

+ + +

Fail secure is a condition achieved by employing mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Managed interfaces include routers, firewalls, and application gateways that reside on protected subnetworks (commonly referred to as demilitarized zones). Failures of boundary protection devices cannot lead to or cause information external to the devices to enter the devices nor can failures permit unauthorized information releases.

+ + + +

systems are prevented from entering unsecure states in the event of an operational failure of a boundary protection device.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing secure failure

+ + + + + Block Communication from Non-organizationally Configured Hosts + + + + + +

communication clients that are independently configured by end users and external service providers are defined;

+ + + + + + + + + +

Block inbound and outbound communications traffic between that are independently configured by end users and external service providers.

+ + +

Communication clients independently configured by end users and external service providers include instant messaging clients and video conferencing software and applications. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.

+ + + + + +

inbound communications traffic is blocked between that are independently configured by end users and external service providers;

+ + + + +

outbound communications traffic is blocked between that are independently configured by end users and external service providers.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

list of communication clients independently configured by end users and external service providers

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers

+ + + + + Dynamic Isolation and Segregation + + + + + +

system components to be dynamically isolated from other system components are defined;

+ + + + + + + + + +

Provide the capability to dynamically isolate from other system components.

+ + +

The capability to dynamically isolate certain internal system components is useful when it is necessary to partition or separate system components of questionable origin from components that possess greater trustworthiness. Component isolation reduces the attack surface of organizational systems. Isolating selected system components can also limit the damage from successful attacks when such attacks occur.

+ + + +

the capability to dynamically isolate from other system components is provided.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

list of system components to be dynamically isolated/segregated from other components of the system

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the capability to dynamically isolate/segregate system components

+ + + + + Isolation of System Components + + + + + +

system components to be isolated by boundary protection mechanisms are defined;

+ + + + + + + +

missions and/or business functions to be supported by system components isolated by boundary protection mechanisms are defined;

+ + + + + + + + + + + + +

Employ boundary protection mechanisms to isolate supporting .

+ + +

Organizations can isolate system components that perform different mission or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected system components. Isolating system components with boundary protection mechanisms provides the capability for increased protection of individual system components and to more effectively control information flows between those components. Isolating system components provides enhanced protection that limits the potential harm from hostile cyber-attacks and errors. The degree of isolation varies depending upon the mechanisms chosen. Boundary protection mechanisms include routers, gateways, and firewalls that separate system components into physically separate networks or subnetworks; cross-domain devices that separate subnetworks; virtualization techniques; and the encryption of information flows among system components using distinct encryption keys.

+ + + +

boundary protection mechanisms are employed to isolate supporting .

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

enterprise architecture documentation

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the capability to separate system components supporting organizational missions and/or business functions

+ + + + + Separate Subnets for Connecting to Different Security Domains + + + + + + + + +

Implement separate network addresses to connect to systems in different security domains.

+ + +

The decomposition of systems into subnetworks (i.e., subnets) helps to provide the appropriate level of protection for network connections to different security domains that contain information with different security categories or classification levels.

+ + + +

separate network addresses are implemented to connect to systems in different security domains.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing separate network addresses/different subnets

+ + + + + Disable Sender Feedback on Protocol Validation Failure + + + + + + + +

Disable feedback to senders on protocol format validation failure.

+ + +

Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information that would otherwise be unavailable.

+ + + +

feedback to senders is disabled on protocol format validation failure.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure

+ + + + + Personally Identifiable Information + + + + + +

processing rules for systems that process personally identifiable information are defined;

+ + + + + + + + + + + + +

For systems that process personally identifiable information:

+ + +

Apply the following processing rules to data elements of personally identifiable information: ;

+ + + +

Monitor for permitted processing at the external interfaces to the system and at key internal boundaries within the system;

+ + + +

Document each processing exception; and

+ + + +

Review and remove exceptions that are no longer supported.

+ + + +

Managing the processing of personally identifiable information is an important aspect of protecting an individual’s privacy. Applying, monitoring for, and documenting exceptions to processing rules ensure that personally identifiable information is processed only in accordance with established privacy requirements.

+ + + + + +

are applied to data elements of personally identifiable information on systems that process personally identifiable information;

+ + + + + + +

permitted processing is monitored at the external interfaces to the systems that process personally identifiable information;

+ + + + +

permitted processing is monitored at key internal boundaries within the systems that process personally identifiable information;

+ + + + + + +

each processing exception is documented for systems that process personally identifiable information;

+ + + + + + +

exceptions for systems that process personally identifiable information are reviewed;

+ + + + +

exceptions for systems that process personally identifiable information that are no longer supported are removed.

+ + + + + + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

personally identifiable information processing policies

+

list of key internal boundaries of the system

+

system design documentation

+

system configuration settings and associated documentation

+

enterprise security and privacy architecture documentation

+

system audit records

+

system security plan

+

privacy plan

+

personally identifiable information inventory documentation

+

data mapping documentation

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms implementing boundary protection capabilities

+ + + + + Unclassified National Security System Connections + + + + + +

the unclassified national security system prohibited from directly connecting to an external network is defined;

+ + + + + + + +

the boundary protection device required for a direct connection to an external network is defined;

+ + + + + + + + + +

Prohibit the direct connection of to an external network without the use of .

+ + +

A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between unclassified national security systems and external networks.

+ + + +

the direct connection of to an external network without the use of is prohibited.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms prohibiting the direct connection of unclassified national security systems to an external network

+ + + + + Classified National Security System Connections + + + + + +

the boundary protection device required for a direct connection to an external network is defined;

+ + + + + + + + + +

Prohibit the direct connection of a classified national security system to an external network without the use of .

+ + +

A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface or cross-domain systems) provide information flow enforcement from systems to external networks.

+ + + +

the direct connection of classified national security system to an external network without the use of a is prohibited.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms prohibiting the direct connection of classified national security systems to an external network

+ + + + + Unclassified Non-national Security System Connections + + + + + + +

the unclassified, non-national security system prohibited from directly connecting to an external network is defined;

+ + + + + + + +

the boundary protection device required for a direct connection of unclassified, non-national security system to an external network is defined;

+ + + + + + + + + +

Prohibit the direct connection of to an external network without the use of .

+ + +

A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between unclassified non-national security systems and external networks.

+ + + +

the direct connection of to an external network without the use of a is prohibited.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms prohibiting the direct connection of unclassified, non-national security systems to an external network

+ + + + + Connections to Public Networks + + + + + +

the system that is prohibited from directly connecting to a public network is defined;

+ + + + + + + + + +

Prohibit the direct connection of to a public network.

+ + +

A direct connection is a dedicated physical or virtual connection between two or more systems. A public network is a network accessible to the public, including the Internet and organizational extranets with public access.

+ + + +

the direct connection of the to a public network is prohibited.

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms prohibiting the direct connection of systems to an external network

+ + + + + Separate Subnets to Isolate Functions + + + + + + + + + + +

critical system components and functions to be isolated are defined;

+ + + + + + + + + +

Implement separate subnetworks to isolate the following critical system components and functions: .

+ + +

Separating critical system components and functions from other noncritical system components and functions through separate subnetworks may be necessary to reduce susceptibility to a catastrophic or debilitating breach or compromise that results in system failure. For example, physically separating the command and control function from the in-flight entertainment function through separate subnetworks in a commercial aircraft provides an increased level of assurance in the trustworthiness of critical system functions.

+ + + +

subnetworks are separated to isolate .

+ + + + + + +

System and communications protection policy

+

procedures addressing boundary protection

+

system design documentation

+

system hardware and software

+

system architecture

+

system configuration settings and associated documentation

+

criticality analysis

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with boundary protection responsibilities

+ + + + + + +

Mechanisms separating critical system components and functions

+ + + + + + Transmission Confidentiality and Integrity + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Protect the of transmitted information.

+ + +

Protecting the confidentiality and integrity of transmitted information applies to internal and external networks as well as any system components that can transmit information, including servers, notebook computers, desktop computers, mobile devices, printers, copiers, scanners, facsimile machines, and radios. Unprotected communication paths are exposed to the possibility of interception and modification. Protecting the confidentiality and integrity of information can be accomplished by physical or logical means. Physical protection can be achieved by using protected distribution systems. A protected distribution system is a wireline or fiber-optics telecommunications system that includes terminals and adequate electromagnetic, acoustical, electrical, and physical controls to permit its use for the unencrypted transmission of classified information. Logical protection can be achieved by employing encryption techniques.

+

Organizations that rely on commercial providers who offer transmission services as commodity services rather than as fully dedicated services may find it difficult to obtain the necessary assurances regarding the implementation of needed controls for transmission confidentiality and integrity. In such situations, organizations determine what types of confidentiality or integrity services are available in standard, commercial telecommunications service packages. If it is not feasible to obtain the necessary controls and assurances of control effectiveness through appropriate contracting vehicles, organizations can implement appropriate compensating controls.

+ + + +

the of transmitted information is/are protected.

+ + + + + + +

System and communications protection policy

+

procedures addressing transmission confidentiality and integrity

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing transmission confidentiality and/or integrity

+ + + + Cryptographic Protection + + + + + + + + + + + + + + +

Implement cryptographic mechanisms to during transmission.

+ + +

Encryption protects information from unauthorized disclosure and modification during transmission. Cryptographic mechanisms that protect the confidentiality and integrity of information during transmission include TLS and IPSec. Cryptographic mechanisms used to protect information integrity include cryptographic hash functions that have applications in digital signatures, checksums, and message authentication codes.

+ + + +

cryptographic mechanisms are implemented to during transmission.

+ + + + + + +

System and communications protection policy

+

procedures addressing transmission confidentiality and integrity

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity

+

mechanisms supporting and/or implementing alternative physical safeguards

+

organizational processes for defining and implementing alternative physical safeguards

+ + + + + Pre- and Post-transmission Handling + + + + + + + + + + + + +

Maintain the of information during preparation for transmission and during reception.

+ + +

Information can be unintentionally or maliciously disclosed or modified during preparation for transmission or during reception, including during aggregation, at protocol transformation points, and during packing and unpacking. Such unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.

+ + + + + +

information is/are maintained during preparation for transmission;

+ + + + +

information is/are maintained during reception.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing transmission confidentiality and integrity

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing transmission confidentiality and/or integrity

+ + + + + Cryptographic Protection for Message Externals + + + + + +

alternative physical controls to protect message externals are defined;

+ + + + + + + + + + + +

Implement cryptographic mechanisms to protect message externals unless otherwise protected by .

+ + +

Cryptographic protection for message externals addresses protection from the unauthorized disclosure of information. Message externals include message headers and routing information. Cryptographic protection prevents the exploitation of message externals and applies to internal and external networks or links that may be visible to individuals who are not authorized users. Header and routing information is sometimes transmitted in clear text (i.e., unencrypted) because the information is not identified by organizations as having significant value or because encrypting the information can result in lower network performance or higher costs. Alternative physical controls include protected distribution systems.

+ + + +

cryptographic mechanisms are implemented to protect message externals unless otherwise protected by .

+ + + + + + +

System and communications protection policy

+

procedures addressing transmission confidentiality and integrity

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals

+

mechanisms supporting and/or implementing alternative physical safeguards

+

organizational processes for defining and implementing alternative physical safeguards

+ + + + + Conceal or Randomize Communications + + + + + +

alternative physical controls to protect against unauthorized disclosure of communication patterns are defined;

+ + + + + + + + + + + +

Implement cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by .

+ + +

Concealing or randomizing communication patterns addresses protection from unauthorized disclosure of information. Communication patterns include frequency, periods, predictability, and amount. Changes to communications patterns can reveal information with intelligence value, especially when combined with other available information related to the mission and business functions of the organization. Concealing or randomizing communications prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed, or random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical controls include protected distribution systems.

+ + + +

cryptographic mechanisms are implemented to conceal or randomize communication patterns unless otherwise protected by .

+ + + + + + +

System and communications protection policy

+

procedures addressing transmission confidentiality and integrity

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Cryptographic mechanisms supporting and/or implementing concealment or randomization of communication patterns

+

mechanisms supporting and/or implementing alternative physical safeguards

+

organizational processes for defining and implementing alternative physical safeguards

+ + + + + Protected Distribution System + + + + + +

the protected distribution system is defined;

+ + + + + + + + + + + + + + +

Implement to during transmission.

+ + +

The purpose of a protected distribution system is to deter, detect, and/or make difficult physical access to the communication lines that carry national security information.

+ + + +

the is implemented to during transmission.

+ + + + + + +

System and communications protection policy

+

procedures addressing transmission confidentiality and integrity

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Cryptographic mechanisms supporting and/or implementing concealment or randomization of communication patterns

+

mechanisms supporting and/or implementing protected distribution systems

+ + + + + + Transmission Confidentiality + + + + + + + + + Network Disconnect + + + + + +

a time period of inactivity after which the system terminates a network connection associated with a communication session is defined;

+ + + + + + + + + + +

Terminate the network connection associated with a communications session at the end of the session or after of inactivity.

+ + +

Network disconnect applies to internal and external networks. Terminating network connections associated with specific communications sessions includes de-allocating TCP/IP address or port pairs at the operating system level and de-allocating the networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include time periods by type of network access or for specific network accesses.

+ + + +

the network connection associated with a communication session is terminated at the end of the session or after of inactivity.

+ + + + + + +

System and communications protection policy

+

procedures addressing network disconnect

+

system design documentation

+

security plan

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing a network disconnect capability

+ + + + + Trusted Path + + + + + + + + + + +

security functions of the system are defined;

+ + + + + + + + + + + + + + + + +

Provide a isolated trusted communications path for communications between the user and the trusted components of the system; and

+ + + +

Permit users to invoke the trusted communications path for communications between the user and the following security functions of the system, including at a minimum, authentication and re-authentication: .

+ + + +

Trusted paths are mechanisms by which users can communicate (using input devices such as keyboards) directly with the security functions of systems with the requisite assurance to support security policies. Trusted path mechanisms can only be activated by users or the security functions of organizational systems. User responses that occur via trusted paths are protected from modification by and disclosure to untrusted applications. Organizations employ trusted paths for trustworthy, high-assurance connections between security functions of systems and users, including during system logons. The original implementations of trusted paths employed an out-of-band signal to initiate the path, such as using the <BREAK> key, which does not transmit characters that can be spoofed. In later implementations, a key combination that could not be hijacked was used (e.g., the <CTRL> + <ALT> + <DEL> keys). Such key combinations, however, are platform-specific and may not provide a trusted path implementation in every case. The enforcement of trusted communications paths is provided by a specific implementation that meets the reference monitor concept.

+ + + + + +

a isolated trusted communication path is provided for communications between the user and the trusted components of the system;

+ + + + +

users are permitted to invoke the trusted communication path for communications between the user and the of the system, including authentication and re-authentication, at a minimum.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing trusted communication paths

+

security plan

+

system design documentation

+

system configuration settings and associated documentation

+

assessment results from independent, testing organizations

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing trusted communication paths

+ + + + Irrefutable Communications Path + + + + + +

security functions of the system are defined;

+ + + + + + + + + + + + +

Provide a trusted communications path that is irrefutably distinguishable from other communications paths; and

+ + + +

Initiate the trusted communications path for communications between the of the system and the user.

+ + + +

An irrefutable communications path permits the system to initiate a trusted path, which necessitates that the user can unmistakably recognize the source of the communication as a trusted system component. For example, the trusted path may appear in an area of the display that other applications cannot access or be based on the presence of an identifier that cannot be spoofed.

+ + + + + +

a trusted communication path that is irrefutably distinguishable from other communication paths is provided;

+ + + + +

the trusted communication path for communications between the of the system and the user is initiated.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing trusted communication paths

+

security plan

+

system design documentation

+

system configuration settings and associated documentation

+

assessment results from independent, testing organizations

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing trusted communication paths

+ + + + + + Cryptographic Key Establishment and Management + + + + + + +

requirements for key generation, distribution, storage, access, and destruction are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Establish and manage cryptographic keys when cryptography is employed within the system in accordance with the following key management requirements: .

+ + +

Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and specify appropriate options, parameters, and levels. Organizations manage trust stores to ensure that only approved trust anchors are part of such trust stores. This includes certificates with visibility external to organizational systems and certificates related to the internal operations of systems. NIST CMVP and NIST CAVP provide additional information on validated cryptographic modules and algorithms that can be used in cryptographic key management and establishment.

+ + + + + +

cryptographic keys are established when cryptography is employed within the system in accordance with ;

+ + + + +

cryptographic keys are managed when cryptography is employed within the system in accordance with .

+ + + + + + + + +

System and communications protection policy

+

procedures addressing cryptographic key establishment and management

+

system design documentation

+

cryptographic mechanisms

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for cryptographic key establishment and/or management

+ + + + + + +

Mechanisms supporting and/or implementing cryptographic key establishment and management

+ + + + Availability + + + + + + + + +

Maintain availability of information in the event of the loss of cryptographic keys by users.

+ + +

Escrowing of encryption keys is a common practice for ensuring availability in the event of key loss. A forgotten passphrase is an example of losing a cryptographic key.

+ + + +

information availability is maintained in the event of the loss of cryptographic keys by users.

+ + + + + + +

System and communications protection policy

+

procedures addressing cryptographic key establishment, management, and recovery

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for cryptographic key establishment or management

+ + + + + + +

Mechanisms supporting and/or implementing cryptographic key establishment and management

+ + + + + Symmetric Keys + + + + + + + + + + + + + +

Produce, control, and distribute symmetric cryptographic keys using key management technology and processes.

+ + +

SP 800-56A, SP 800-56B , and SP 800-56C provide guidance on cryptographic key establishment schemes and key derivation methods. SP 800-57-1, SP 800-57-2 , and SP 800-57-3 provide guidance on cryptographic key management.

+ + + + + +

symmetric cryptographic keys are produced using key management technology and processes;

+ + + + +

symmetric cryptographic keys are controlled using key management technology and processes;

+ + + + +

symmetric cryptographic keys are distributed using key management technology and processes.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing cryptographic key establishment and management

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of FIPS-validated cryptographic products

+

list of NSA-approved cryptographic products

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with responsibilities for cryptographic key establishment or management

+ + + + + + +

Mechanisms supporting and/or implementing symmetric cryptographic key establishment and management

+ + + + + Asymmetric Keys + + + + + + + + + + + + + +

Produce, control, and distribute asymmetric cryptographic keys using .

+ + +

SP 800-56A, SP 800-56B , and SP 800-56C provide guidance on cryptographic key establishment schemes and key derivation methods. SP 800-57-1, SP 800-57-2 , and SP 800-57-3 provide guidance on cryptographic key management.

+ + + + + +

asymmetric cryptographic keys are produced using ;

+ + + + +

asymmetric cryptographic keys are controlled using ;

+ + + + +

asymmetric cryptographic keys are distributed using .

+ + + + + + + + +

System and communications protection policy

+

procedures addressing cryptographic key establishment and management

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of NSA-approved cryptographic products

+

list of approved PKI Class 3 and Class 4 certificates

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with responsibilities for cryptographic key establishment or management

+

organizational personnel with responsibilities for PKI certificates

+ + + + + + +

Mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management

+ + + + + PKI Certificates + + + + + + + + + PKI Certificates / Hardware Tokens + + + + + + + + + Physical Control of Keys + + + + + + + + +

Maintain physical control of cryptographic keys when stored information is encrypted by external service providers.

+ + +

For organizations that use external service providers (e.g., cloud service or data center providers), physical control of cryptographic keys provides additional assurance that information stored by such external providers is not subject to unauthorized disclosure or modification.

+ + + +

physical control of cryptographic keys is maintained when stored information is encrypted by external service providers.

+ + + + + + +

System and communications protection policy

+

procedures addressing cryptographic key establishment, management, and recovery

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for cryptographic key establishment or management

+ + + + + + +

Mechanisms supporting and/or implementing cryptographic key establishment and management

+ + + + + + Cryptographic Protection + + + + + +

cryptographic uses are defined;

+ + + + + + + + +

types of cryptography for each specified cryptographic use are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Determine the ; and

+ + + +

Implement the following types of cryptography required for each specified cryptographic use: .

+ + + +

Cryptography can be employed to support a variety of security solutions, including the protection of classified information and controlled unclassified information, the provision and implementation of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances but lack the necessary formal access approvals. Cryptography can also be used to support random number and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. For example, organizations that need to protect classified information may specify the use of NSA-approved cryptography. Organizations that need to provision and implement digital signatures may specify the use of FIPS-validated cryptography. Cryptography is implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

+ + + + + +

are identified;

+ + + + +

for each specified cryptographic use (defined in SC-13_ODP[01]) are implemented.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing cryptographic protection

+

system design documentation

+

system configuration settings and associated documentation

+

cryptographic module validation certificates

+

list of FIPS-validated cryptographic modules

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with responsibilities for cryptographic protection

+ + + + + + +

Mechanisms supporting and/or implementing cryptographic protection

+ + + + FIPS-validated Cryptography + + + + + + + + + NSA-approved Cryptography + + + + + + + + + Individuals Without Formal Access Approvals + + + + + + + + + Digital Signatures + + + + + + + + + + Public Access Protections + + + + + + + + + + + + + + + + + Collaborative Computing Devices and Applications + + + + + +

exceptions where remote activation is to be allowed are defined;

+ + + + + + + + + + + + +

Prohibit remote activation of collaborative computing devices and applications with the following exceptions: ; and

+ + + +

Provide an explicit indication of use to users physically present at the devices.

+ + + +

Collaborative computing devices and applications include remote meeting devices and applications, networked white boards, cameras, and microphones. The explicit indication of use includes signals to users when collaborative computing devices and applications are activated.

+ + + + + +

remote activation of collaborative computing devices and applications is prohibited except ;

+ + + + +

an explicit indication of use is provided to users physically present at the devices.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing collaborative computing

+

access control policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with responsibilities for managing collaborative computing devices

+ + + + + + +

Mechanisms supporting and/or implementing the management of remote activation of collaborative computing devices

+

mechanisms providing an indication of use of collaborative computing devices

+ + + + Physical or Logical Disconnect + + + + + + + + + + + + +

Provide disconnect of collaborative computing devices in a manner that supports ease of use.

+ + +

Failing to disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to disconnect from such devices after a collaborative computing session ensures that participants carry out the disconnect activity without having to go through complex and tedious procedures. Disconnect from collaborative computing devices can be manual or automatic.

+ + + +

the disconnect of collaborative computing devices is/are provided in a manner that supports ease of use.

+ + + + + + +

System and communications protection policy

+

procedures addressing collaborative computing

+

access control policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with responsibilities for managing collaborative computing devices

+ + + + + + +

Mechanisms supporting and/or implementing the physical disconnect of collaborative computing devices

+ + + + + Blocking Inbound and Outbound Communications Traffic + + + + + + + + + Disabling and Removal in Secure Work Areas + + + + + +

systems or system components from which collaborative computing devices are to be disabled or removed are defined;

+ + + + + + + +

secure work areas where collaborative computing devices are to be disabled or removed from systems or system components are defined;

+ + + + + + + + + +

Disable or remove collaborative computing devices and applications from in .

+ + +

Failing to disable or remove collaborative computing devices and applications from systems or system components can result in compromises of information, including eavesdropping on conversations. A Sensitive Compartmented Information Facility (SCIF) is an example of a secure work area.

+ + + +

collaborative computing devices and applications are disabled or removed from in .

+ + + + + + +

System and communications protection policy

+

procedures addressing collaborative computing

+

access control policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of secure work areas

+

systems or system components in secured work areas where collaborative computing devices are to be disabled or removed

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for managing collaborative computing devices

+ + + + + + +

Mechanisms supporting and/or implementing the capability to disable collaborative computing devices

+ + + + + Explicitly Indicate Current Participants + + + + + +

online meetings and teleconferences for which an explicit indication of current participants is to be provided are defined;

+ + + + + + + + + +

Provide an explicit indication of current participants in .

+ + +

Explicitly indicating current participants prevents unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.

+ + + +

an explicit indication of current participants in is provided.

+ + + + + + +

System and communications protection policy

+

procedures addressing collaborative computing

+

access control policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

list of types of meetings and teleconferences requiring explicit indication of current participants

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for managing collaborative computing devices

+ + + + + + +

Mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices

+ + + + + + Transmission of Security and Privacy Attributes + + + + + + + + + +

security attributes to be associated with information exchanged are defined;

+ + + + + + +

privacy attributes to be associated with information exchanged are defined;

+ + + + + + + + + + + + +

Associate with information exchanged between systems and between system components.

+ + +

Security and privacy attributes can be explicitly or implicitly associated with the information contained in organizational systems or system components. Attributes are abstractions that represent the basic properties or characteristics of an entity with respect to protecting information or the management of personally identifiable information. Attributes are typically associated with internal data structures, including records, buffers, and files within the system. Security and privacy attributes are used to implement access control and information flow control policies; reflect special dissemination, management, or distribution instructions, including permitted uses of personally identifiable information; or support other aspects of the information security and privacy policies. Privacy attributes may be used independently or in conjunction with security attributes.

+ + + + + +

are associated with information exchanged between systems;

+ + + + +

are associated with information exchanged between system components;

+ + + + +

are associated with information exchanged between systems;

+ + + + +

are associated with information exchanged between system components.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing the transmission of security and privacy attributes

+

access control policy and procedures

+

information flow control policy

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the transmission of security and privacy attributes between systems

+ + + + Integrity Verification + + + + + + + + + +

Verify the integrity of transmitted security and privacy attributes.

+ + +

Part of verifying the integrity of transmitted information is ensuring that security and privacy attributes that are associated with such information have not been modified in an unauthorized manner. Unauthorized modification of security or privacy attributes can result in a loss of integrity for transmitted information.

+ + + + + +

the integrity of transmitted security attributes is verified;

+ + + + +

the integrity of transmitted privacy attributes is verified.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing the transmission of security and privacy attributes

+

access control policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing verification of the integrity of transmitted security and privacy attributes

+ + + + + Anti-spoofing Mechanisms + + + + + + + + + + +

Implement anti-spoofing mechanisms to prevent adversaries from falsifying the security attributes indicating the successful application of the security process.

+ + +

Some attack vectors operate by altering the security attributes of an information system to intentionally and maliciously implement an insufficient level of security within the system. The alteration of attributes leads organizations to believe that a greater number of security functions are in place and operational than have actually been implemented.

+ + + +

anti-spoofing mechanisms are implemented to prevent adversaries from falsifying the security attributes indicating the successful application of the security process.

+ + + + + + +

System and communications protection policy

+

procedures addressing the transmission of security and privacy attributes

+

access control policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing anti-spoofing mechanisms

+ + + + + Cryptographic Binding + + + + + +

mechanisms or techniques to bind security and privacy attributes to transmitted information are defined;

+ + + + + + + + + + + + +

Implement to bind security and privacy attributes to transmitted information.

+ + +

Cryptographic mechanisms and techniques can provide strong security and privacy attribute binding to transmitted information to help ensure the integrity of such information.

+ + + +

are implemented to bind security and privacy attributes to transmitted information.

+ + + + + + +

System and communications protection policy

+

procedures addressing the transmission of security and privacy attributes

+

access control policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing anti-spoofing mechanisms

+ + + + + + Public Key Infrastructure Certificates + + + + + +

a certificate policy for issuing public key certificates is defined;

+ + + + + + + + + + + + + + + + + + + +

Issue public key certificates under an or obtain public key certificates from an approved service provider; and

+ + + +

Include only approved trust anchors in trust stores or certificate stores managed by the organization.

+ + + +

Public key infrastructure (PKI) certificates are certificates with visibility external to organizational systems and certificates related to the internal operations of systems, such as application-specific time services. In cryptographic systems with a hierarchical structure, a trust anchor is an authoritative source (i.e., a certificate authority) for which trust is assumed and not derived. A root certificate for a PKI system is an example of a trust anchor. A trust store or certificate store maintains a list of trusted root certificates.

+ + + + + +

public key certificates are issued under , or public key certificates are obtained from an approved service provider;

+ + + + +

only approved trust anchors are included in trust stores or certificate stores managed by the organization.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing public key infrastructure certificates

+

public key certificate policy or policies

+

public key issuing process

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for issuing public key certificates

+

service providers

+ + + + + + +

Mechanisms supporting and/or implementing the management of public key infrastructure certificates

+ + + + + Mobile Code + + + + + + + + + + + + + + +

Define acceptable and unacceptable mobile code and mobile code technologies; and

+ + + +

Authorize, monitor, and control the use of mobile code within the system.

+ + + +

Mobile code includes any program, application, or content that can be transmitted across a network (e.g., embedded in an email, document, or website) and executed on a remote system. Decisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include Java applets, JavaScript, HTML5, WebGL, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices, including notebook computers and smart phones. Mobile code policy and procedures address specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems, including requiring mobile code to be digitally signed by a trusted source.

+ + + + + + + +

acceptable mobile code is defined;

+ + + + +

unacceptable mobile code is defined;

+ + + + +

acceptable mobile code technologies are defined;

+ + + + +

unacceptable mobile code technologies are defined;

+ + + + + + + + +

the use of mobile code is authorized within the system;

+ + + + +

the use of mobile code is monitored within the system;

+ + + + +

the use of mobile code is controlled within the system.

+ + + + + + + + + + +

System and communications protection policy

+

procedures addressing mobile code

+

mobile code implementation policy and procedures

+

list of acceptable mobile code and mobile code technologies

+

list of unacceptable mobile code and mobile technologies

+

authorization records

+

system monitoring records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for managing mobile code

+ + + + + + +

Organizational process for authorizing, monitoring, and controlling mobile code

+

mechanisms supporting and/or implementing the management of mobile code

+

mechanisms supporting and/or implementing the monitoring of mobile code

+ + + + Identify Unacceptable Code and Take Corrective Actions + + + + + +

unacceptable mobile code to be identified is defined;

+ + + + + + + +

corrective actions to be taken when unacceptable mobile code is identified are defined;

+ + + + + + + + + +

Identify and take .

+ + +

Corrective actions when unacceptable mobile code is detected include blocking, quarantine, or alerting administrators. Blocking includes preventing the transmission of word processing files with embedded macros when such macros have been determined to be unacceptable mobile code.

+ + + + + +

is identified;

+ + + + +

are taken if unacceptable mobile code is identified.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing mobile code

+

mobile code usage restrictions

+

mobile code implementation policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

list of unacceptable mobile code

+

list of corrective actions to be taken when unacceptable mobile code is identified

+

system monitoring records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with responsibilities for managing mobile code

+ + + + + + +

Mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capabilities

+ + + + + Acquisition, Development, and Use + + + + + +

mobile code requirements for the acquisition, development, and use of mobile code to be deployed in the system are defined;

+ + + + + + + + + +

Verify that the acquisition, development, and use of mobile code to be deployed in the system meets .

+ + +

None.

+ + + + + +

the acquisition of mobile code to be deployed in the system meets ;

+ + + + +

the development of mobile code to be deployed in the system meets ;

+ + + + +

the use of mobile code to be deployed in the system meets .

+ + + + + + + + +

System and communications protection policy

+

procedures addressing mobile code

+

mobile code requirements

+

mobile code usage restrictions

+

mobile code implementation policy and procedures

+

acquisition documentation

+

acquisition contracts for system, system component, or system service

+

system development life cycle documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for managing mobile code

+

organizational personnel with acquisition and contracting responsibilities

+ + + + + + +

Organizational processes for the acquisition, development, and use of mobile code

+ + + + + Prevent Downloading and Execution + + + + + +

unacceptable mobile code to be prevented from downloading and executing is defined;

+ + + + + + + + + +

Prevent the download and execution of .

+ + +

None.

+ + + + + +

the download of is prevented;

+ + + + +

the execution of is prevented.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing mobile code

+

mobile code usage restrictions

+

mobile code implementation policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with responsibilities for managing mobile code

+ + + + + + +

Mechanisms preventing the download and execution of unacceptable mobile code

+ + + + + Prevent Automatic Execution + + + + + +

software applications in which the automatic execution of mobile code is to be prevented are defined;

+ + + + + + + +

actions to be enforced by the system prior to executing mobile code are defined;

+ + + + + + + + + +

Prevent the automatic execution of mobile code in and enforce prior to executing the code.

+ + +

Actions enforced before executing mobile code include prompting users prior to opening email attachments or clicking on web links. Preventing the automatic execution of mobile code includes disabling auto-execute features on system components that employ portable storage devices, such as compact discs, digital versatile discs, and universal serial bus devices.

+ + + + + +

the automatic execution of mobile code in is prevented;

+ + + + +

are enforced prior to executing mobile code.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing mobile code

+

mobile code usage restrictions

+

mobile code implementation policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

list of software applications in which the automatic execution of mobile code must be prohibited

+

list of actions required before execution of mobile code

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with responsibilities for managing mobile code

+ + + + + + +

Mechanisms preventing the automatic execution of unacceptable mobile code

+

mechanisms enforcing actions to be taken prior to the execution of the mobile code

+ + + + + Allow Execution Only in Confined Environments + + + + + + + + + +

Allow execution of permitted mobile code only in confined virtual machine environments.

+ + +

Permitting the execution of mobile code only in confined virtual machine environments helps prevent the introduction of malicious code into other systems and system components.

+ + + +

execution of permitted mobile code is allowed only in confined virtual machine environments.

+ + + + + + +

System and communications protection policy

+

procedures addressing mobile code

+

mobile code usage allowances

+

mobile code usage restrictions

+

system design documentation

+

system configuration settings and associated documentation

+

list of confined virtual machine environments in which the execution of organizationally acceptable mobile code is allowed

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel with responsibilities for managing mobile code

+ + + + + + +

Mechanisms allowing for the execution of permitted mobile code in confined virtual machine environments

+ + + + + + Voice Over Internet Protocol + + + + + + +

Technology-specific; addressed as any other technology or protocol.

+ + + + Secure Name/Address Resolution Service (Authoritative Source) + + + + + + + + + + + + + + + + + +

Provide additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and

+ + + +

Provide the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.

+ + + +

Providing authoritative source information enables external clients, including remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Systems that provide name and address resolution services include domain name system (DNS) servers. Additional artifacts include DNS Security Extensions (DNSSEC) digital signatures and cryptographic keys. Authoritative data includes DNS resource records. The means for indicating the security status of child zones include the use of delegation signer resource records in the DNS. Systems that use technologies other than the DNS to map between host and service names and network addresses provide other means to assure the authenticity and integrity of response data.

+ + + + + + + +

additional data origin authentication is provided along with the authoritative name resolution data that the system returns in response to external name/address resolution queries;

+ + + + +

integrity verification artifacts are provided along with the authoritative name resolution data that the system returns in response to external name/address resolution queries;

+ + + + + + + + +

the means to indicate the security status of child zones (and if the child supports secure resolution services) is provided when operating as part of a distributed, hierarchical namespace;

+ + + + +

the means to enable verification of a chain of trust among parent and child domains when operating as part of a distributed, hierarchical namespace is provided.

+ + + + + + + + + + +

System and communications protection policy

+

procedures addressing secure name/address resolution services (authoritative source)

+

system design documentation

+

system configuration settings and associated documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for managing DNS

+ + + + + + +

Mechanisms supporting and/or implementing secure name/address resolution services

+ + + + Child Subspaces + + + + + + + + + Data Origin and Integrity + + + + + + + +

Provide data origin and integrity protection artifacts for internal name/address resolution queries.

+ + +

None.

+ + + + + +

data origin artifacts are provided for internal name/address resolution queries;

+ + + + +

integrity protection artifacts are provided for internal name/address resolution queries.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing secure name/address resolution services (authoritative source)

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for managing DNS

+ + + + + + +

Mechanisms supporting and/or implementing data origin and integrity protection for internal name/address resolution service queries

+ + + + + + Secure Name/Address Resolution Service (Recursive or Caching Resolver) + + + + + + + + + +

Request and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.

+ + +

Each client of name resolution services either performs this validation on its own or has authenticated channels to trusted validation providers. Systems that provide name and address resolution services for local clients include recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Systems that use technologies other than the DNS to map between host and service names and network addresses provide some other means to enable clients to verify the authenticity and integrity of response data.

+ + + + + +

data origin authentication is requested for the name/address resolution responses that the system receives from authoritative sources;

+ + + + +

data origin authentication is performed on the name/address resolution responses that the system receives from authoritative sources;

+ + + + +

data integrity verification is requested for the name/address resolution responses that the system receives from authoritative sources;

+ + + + +

data integrity verification is performed on the name/address resolution responses that the system receives from authoritative sources.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing secure name/address resolution services (recursive or caching resolver)

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for managing DNS

+ + + + + + +

Mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services

+ + + + Data Origin and Integrity + + + + + + + + + + Architecture and Provisioning for Name/Address Resolution Service + + + + + + + + + + + +

Ensure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation.

+ + +

Systems that provide name and address resolution services include domain name system (DNS) servers. To eliminate single points of failure in systems and enhance redundancy, organizations employ at least two authoritative domain name system servers—one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks, including the Internet). Organizations specify clients that can access authoritative DNS servers in certain roles (e.g., by address ranges and explicit lists).

+ + + + + +

the systems that collectively provide name/address resolution services for an organization are fault-tolerant;

+ + + + +

the systems that collectively provide name/address resolution services for an organization implement internal role separation;

+ + + + +

the systems that collectively provide name/address resolution services for an organization implement external role separation.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing architecture and provisioning for name/address resolution services

+

access control policy and procedures

+

system design documentation

+

assessment results from independent testing organizations

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for managing DNS

+ + + + + + +

Mechanisms supporting and/or implementing name/address resolution services for fault tolerance and role separation

+ + + + + Session Authenticity + + + + + + + + + + + + + + +

Protect the authenticity of communications sessions.

+ + +

Protecting session authenticity addresses communications protection at the session level, not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of transmitted information. Authenticity protection includes protecting against man-in-the-middle attacks, session hijacking, and the insertion of false information into sessions.

+ + + +

the authenticity of communication sessions is protected.

+ + + + + + +

System and communications protection policy

+

procedures addressing session authenticity

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing session authenticity

+ + + + Invalidate Session Identifiers at Logout + + + + + + + +

Invalidate session identifiers upon user logout or other session termination.

+ + +

Invalidating session identifiers at logout curtails the ability of adversaries to capture and continue to employ previously valid session IDs.

+ + + +

session identifiers are invalidated upon user logout or other session termination.

+ + + + + + +

System and communications protection policy

+

procedures addressing session authenticity

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing session identifier invalidation upon session termination

+ + + + + User-initiated Logouts and Message Displays + + + + + + + + + Unique System-generated Session Identifiers + + + + + +

randomness requirements for generating a unique session identifier for each session are defined;

+ + + + + + + + + + + + +

Generate a unique session identifier for each session with and recognize only session identifiers that are system-generated.

+ + +

Generating unique session identifiers curtails the ability of adversaries to reuse previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers protects against brute-force attacks to determine future session identifiers.

+ + + + + +

a unique session identifier is generated for each session with ;

+ + + + +

only system-generated session identifiers are recognized.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing session authenticity

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting, implementing, generating, and monitoring unique session identifiers

+

mechanisms supporting and/or implementing randomness requirements

+ + + + + Unique Session Identifiers with Randomization + + + + + + + + + Allowed Certificate Authorities + + + + + + +

certificate authorities to be allowed for verification of the establishment of protected sessions are defined;

+ + + + + + + + + + + +

Only allow the use of for verification of the establishment of protected sessions.

+ + +

Reliance on certificate authorities for the establishment of secure sessions includes the use of Transport Layer Security (TLS) certificates. These certificates, after verification by their respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.

+ + + +

only the use of for verification of the establishment of protected sessions is allowed.

+ + + + + + +

System and communications protection policy

+

procedures addressing session authenticity

+

system design documentation

+

system configuration settings and associated documentation

+

list of certificate authorities allowed for verification of the establishment of protected sessions

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the management of certificate authorities

+ + + + + + Fail in Known State + + + + + + +

types of system failures for which the system components fail to a known state are defined;

+ + + + + + + +

known system state to which system components fail in the event of a system failure is defined;

+ + + + + + + +

system state information to be preserved in the event of a system failure is defined;

+ + + + + + + + + + + + + + + + + +

Fail to a for the following failures on the indicated components while preserving in failure: .

+ + +

Failure in a known state addresses security concerns in accordance with the mission and business needs of organizations. Failure in a known state prevents the loss of confidentiality, integrity, or availability of information in the event of failures of organizational systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving system state information facilitates system restart and return to the operational mode with less disruption of mission and business processes.

+ + + +

fail to a while preserving in failure.

+ + + + + + +

System and communications protection policy

+

procedures addressing system failure to known state

+

system design documentation

+

system configuration settings and associated documentation

+

list of failures requiring system to fail in a known state

+

state information to be preserved in system failure

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing the fail in known state capability

+

mechanisms preserving system state information in the event of a system failure

+ + + + + Thin Nodes + + + + + +

system components to be employed with minimal functionality and information storage are defined;

+ + + + + + + + + + +

Employ minimal functionality and information storage on the following system components: .

+ + +

The deployment of system components with minimal functionality reduces the need to secure every endpoint and may reduce the exposure of information, systems, and services to attacks. Reduced or minimal functionality includes diskless nodes and thin client technologies.

+ + + + + +

minimal functionality for is employed;

+ + + + +

minimal information storage on is allocated.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing use of thin nodes

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing thin nodes

+ + + + + Decoys + + + + + + + + + + + + + +

Include components within organizational systems specifically designed to be the target of malicious attacks for detecting, deflecting, and analyzing such attacks.

+ + +

Decoys (i.e., honeypots, honeynets, or deception nets) are established to attract adversaries and deflect attacks away from the operational systems that support organizational mission and business functions. Use of decoys requires some supporting isolation measures to ensure that any deflected malicious code does not infect organizational systems. Depending on the specific usage of the decoy, consultation with the Office of the General Counsel before deployment may be needed.

+ + + + + +

components within organizational systems specifically designed to be the target of malicious attacks are included to detect such attacks;

+ + + + +

components within organizational systems specifically designed to be the target of malicious attacks are included to deflect such attacks;

+ + + + +

components within organizational systems specifically designed to be the target of malicious attacks are included to analyze such attacks.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing the use of decoys

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing decoys

+ + + + Detection of Malicious Code + + + + + + + + + + Platform-independent Applications + + + + + +

platform-independent applications to be included within organizational systems are defined;

+ + + + + + + + + +

Include within organizational systems the following platform independent applications: .

+ + +

Platforms are combinations of hardware, firmware, and software components used to execute software applications. Platforms include operating systems, the underlying computer architectures, or both. Platform-independent applications are applications with the capability to execute on multiple platforms. Such applications promote portability and reconstitution on different platforms. Application portability and the ability to reconstitute on different platforms increase the availability of mission-essential functions within organizations in situations where systems with specific operating systems are under attack.

+ + + +

are included within organizational systems.

+ + + + + + +

System and communications protection policy

+

procedures addressing platform-independent applications

+

system design documentation

+

system configuration settings and associated documentation

+

list of platform-independent applications

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing platform-independent applications

+ + + + + Protection of Information at Rest + + + + + + + + + + +

information at rest requiring protection is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Protect the of the following information at rest: .

+ + +

Information at rest refers to the state of information when it is not in process or in transit and is located on system components. Such components include internal or external hard disk drives, storage area network devices, or databases. However, the focus of protecting information at rest is not on the type of storage device or frequency of access but rather on the state of the information. Information at rest addresses the confidentiality and integrity of information and covers user information and system information. System-related information that requires protection includes configurations or rule sets for firewalls, intrusion detection and prevention systems, filtering routers, and authentication information. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing write-once-read-many (WORM) technologies. When adequate protection of information at rest cannot otherwise be achieved, organizations may employ other controls, including frequent scanning to identify malicious code at rest and secure offline storage in lieu of online storage.

+ + + +

the of is/are protected.

+ + + + + + +

System and communications protection policy

+

procedures addressing the protection of information at rest

+

system design documentation

+

system configuration settings and associated documentation

+

cryptographic mechanisms and associated configuration documentation

+

list of information at rest requiring confidentiality and integrity protections

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest

+ + + + Cryptographic Protection + + + + + +

information requiring cryptographic protection is defined;

+ + + + + + + +

system components or media requiring cryptographic protection is/are defined;

+ + + + + + + + + + + + +

Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of the following information at rest on : .

+ + +

The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category or classification of the information. Organizations have the flexibility to encrypt information on system components or media or encrypt data structures, including files, records, or fields.

+ + + + + +

cryptographic mechanisms are implemented to prevent unauthorized disclosure of at rest on ;

+ + + + +

cryptographic mechanisms are implemented to prevent unauthorized modification of at rest on .

+ + + + + + + + +

System and communications protection policy

+

procedures addressing the protection of information at rest

+

system design documentation

+

system configuration settings and associated documentation

+

cryptographic mechanisms and associated configuration documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest

+ + + + + Offline Storage + + + + + +

information to be removed from online storage and stored offline in a secure location is defined;

+ + + + + + + + + +

Remove the following information from online storage and store offline in a secure location: .

+ + +

Removing organizational information from online storage to offline storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to offline storage in lieu of protecting such information in online storage.

+ + + + + +

is removed from online storage;

+ + + + +

is stored offline in a secure location.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing the protection of information at rest

+

system design documentation

+

system configuration settings and associated documentation

+

cryptographic mechanisms and associated configuration documentation

+

offline storage locations for information at rest

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the removal of information from online storage

+

mechanisms supporting and/or implementing storage of information offline

+ + + + + Cryptographic Keys + + + + + + + + + + +

safeguards for protecting the storage of cryptographic keys are defined (if selected);

+ + + + + + + + + + + + +

Provide protected storage for cryptographic keys .

+ + +

A Trusted Platform Module (TPM) is an example of a hardware-protected data store that can be used to protect cryptographic keys.

+ + + +

protected storage for cryptographic keys is provided using .

+ + + + + + +

System and communications protection policy

+

procedures addressing the protection of information at rest

+

system design documentation

+

system configuration settings and associated documentation

+

cryptographic mechanisms and associated configuration documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing hardware-based key store protection

+ + + + + + Heterogeneity + + + + + +

system components requiring a diverse set of information technologies to be employed in the implementation of the system are defined;

+ + + + + + + + + + + + + + +

Employ a diverse set of information technologies for the following system components in the implementation of the system: .

+ + +

Increasing the diversity of information technologies within organizational systems reduces the impact of potential exploitations or compromises of specific technologies. Such diversity protects against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one system component will be effective against other system components, thus further increasing the adversary work factor to successfully complete planned attacks. An increase in diversity may add complexity and management overhead that could ultimately lead to mistakes and unauthorized configurations.

+ + + +

a diverse set of information technologies is employed for in the implementation of the system.

+ + + + + + +

System and communications protection policy

+

system design documentation

+

system configuration settings and associated documentation

+

list of technologies deployed in the system

+

acquisition documentation

+

acquisition contracts for system components or services

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with system acquisition, development, and implementation responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the employment of a diverse set of information technologies

+ + + + Virtualization Techniques + + + + + +

the frequency at which to change the diversity of operating systems and applications deployed using virtualization techniques is defined;

+ + + + + + + + + + +

Employ virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed .

+ + +

While frequent changes to operating systems and applications can pose significant configuration management challenges, the changes can result in an increased work factor for adversaries to conduct successful attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems or applications, provides virtual changes that impede attacker success while reducing configuration management efforts. Virtualization techniques can assist in isolating untrustworthy software or software of dubious provenance into confined execution environments.

+ + + +

virtualization techniques are employed to support the deployment of a diverse range of operating systems and applications that are changed .

+ + + + + + +

System and communications protection policy

+

configuration management policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of operating systems and applications deployed using virtualization techniques

+

change control records

+

configuration management records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with responsibilities for implementing approved virtualization techniques to the system

+ + + + + + +

Mechanisms supporting and/or implementing the employment of a diverse set of information technologies

+

mechanisms supporting and/or implementing virtualization techniques

+ + + + + + Concealment and Misdirection + + + + + +

concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting systems are defined;

+ + + + + + + +

systems for which concealment and misdirection techniques are to be employed are defined;

+ + + + + + + +

time periods to employ concealment and misdirection techniques for systems are defined;

+ + + + + + + + + + + + + + + +

Employ the following concealment and misdirection techniques for at to confuse and mislead adversaries: .

+ + +

Concealment and misdirection techniques can significantly reduce the targeting capabilities of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. For example, virtualization techniques provide organizations with the ability to disguise systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. The increased use of concealment and misdirection techniques and methods—including randomness, uncertainty, and virtualization—may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment and misdirection techniques may provide additional time to perform core mission and business functions. The implementation of concealment and misdirection techniques may add to the complexity and management overhead required for the system.

+ + + +

are employed for for to confuse and mislead adversaries.

+ + + + + + +

System and communications protection policy

+

procedures addressing concealment and misdirection techniques for the system

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of concealment and misdirection techniques to be employed for organizational systems

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with the responsibility to implement concealment and misdirection techniques for systems

+ + + + + + +

Mechanisms supporting and/or implementing concealment and misdirection techniques

+ + + + Virtualization Techniques + + + + + + + + + Randomness + + + + + +

techniques employed to introduce randomness into organizational operations and assets are defined;

+ + + + + + + + + + +

Employ to introduce randomness into organizational operations and assets.

+ + +

Randomness introduces increased levels of uncertainty for adversaries regarding the actions that organizations take to defend their systems against attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations that support critical missions or business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques that involve randomness include performing certain routine actions at different times of day, employing different information technologies, using different suppliers, and rotating roles and responsibilities of organizational personnel.

+ + + +

are employed to introduce randomness into organizational operations and assets.

+ + + + + + +

System and communications protection policy

+

procedures addressing concealment and misdirection techniques for the system

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of techniques to be employed to introduce randomness into organizational operations and assets

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with the responsibility to implement concealment and misdirection techniques for systems

+ + + + + + +

Mechanisms supporting and/or implementing randomness as a concealment and misdirection technique

+ + + + + Change Processing and Storage Locations + + + + + +

processing and/or storage locations to be changed are defined;

+ + + + + + + + + + + + +

time frequency at which to change the location of processing and/or storage is defined (if selected);

+ + + + + + + + + + +

Change the location of ].

+ + +

Adversaries target critical mission and business functions and the systems that support those mission and business functions while also trying to minimize the exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational systems targeted by adversaries make such systems more susceptible to attacks with less adversary cost and effort to be successful. Changing processing and storage locations (also referred to as moving target defense) addresses the advanced persistent threat using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the system components (i.e., processing, storage) that support critical mission and business functions. Changing the locations of processing activities and/or storage sites introduces a degree of uncertainty into the targeting activities of adversaries. The targeting uncertainty increases the work factor of adversaries and makes compromises or breaches of the organizational systems more difficult and time-consuming. It also increases the chances that adversaries may inadvertently disclose certain aspects of their tradecraft while attempting to locate critical organizational resources.

+ + + +

the location of is changed .

+ + + + + + +

System and communications protection policy

+

configuration management policy and procedures

+

procedures addressing concealment and misdirection techniques for the system

+

list of processing/storage locations to be changed at organizational time intervals

+

change control records

+

configuration management records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with the responsibility to change processing and/or storage locations

+ + + + + + +

Mechanisms supporting and/or implementing changing processing and/or storage locations

+ + + + + Misleading Information + + + + + +

system components for which realistic but misleading information about their security state or posture is employed are defined;

+ + + + + + + + + + +

Employ realistic, but misleading information in about its security state or posture.

+ + +

Employing misleading information is intended to confuse potential adversaries regarding the nature and extent of controls deployed by organizations. Thus, adversaries may employ incorrect and ineffective attack techniques. One technique for misleading adversaries is for organizations to place misleading information regarding the specific controls deployed in external systems that are known to be targeted by adversaries. Another technique is the use of deception nets that mimic actual aspects of organizational systems but use, for example, out-of-date software configurations.

+ + + +

realistic but misleading information about the security state or posture of is employed.

+ + + + + + +

System and communications protection policy

+

configuration management policy and procedures

+

procedures addressing concealment and misdirection techniques for the system

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with the responsibility to define and employ realistic but misleading information about the security posture of system components

+ + + + + + +

Mechanisms supporting and/or implementing the employment of realistic but misleading information about the security posture of system components

+ + + + + Concealment of System Components + + + + + +

techniques to be employed to hide or conceal system components are defined;

+ + + + + + + +

system components to be hidden or concealed using techniques (defined in SC-30(05)_ODP[01]) are defined;

+ + + + + + + + + + +

Employ the following techniques to hide or conceal : .

+ + +

By hiding, disguising, or concealing critical system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means to hide, disguise, or conceal system components include the configuration of routers or the use of encryption or virtualization techniques.

+ + + +

are employed to hide or conceal .

+ + + + + + +

System and communications protection policy

+

configuration management policy and procedures

+

procedures addressing concealment and misdirection techniques for the system

+

system design documentation

+

system configuration settings and associated documentation

+

list of techniques employed to hide or conceal system components

+

list of system components to be hidden or concealed

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with the responsibility to conceal system components

+ + + + + + +

Mechanisms supporting and/or implementing techniques for the concealment of system components

+ + + + + + Covert Channel Analysis + + + + + + + + + + + + + + + + + + +

Perform a covert channel analysis to identify those aspects of communications within the system that are potential avenues for covert channels; and

+ + + +

Estimate the maximum bandwidth of those channels.

+ + + +

Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, such as in the case of systems that contain export-controlled information and have connections to external networks (i.e., networks that are not controlled by organizations). Covert channel analysis is also useful for multilevel secure systems, multiple security level systems, and cross-domain systems.

+ + + + + +

a covert channel analysis is performed to identify those aspects of communications within the system that are potential avenues for covert channels;

+ + + + +

the maximum bandwidth of those channels is estimated.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing covert channel analysis

+

system design documentation

+

system configuration settings and associated documentation

+

covert channel analysis documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with covert channel analysis responsibilities

+

system developers/integrators

+ + + + + + +

Organizational process for conducting covert channel analysis

+

mechanisms supporting and/or implementing covert channel analysis

+

mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels

+ + + + Test Covert Channels for Exploitability + + + + + + + + +

Test a subset of the identified covert channels to determine the channels that are exploitable.

+ + +

None.

+ + + +

a subset of the identified covert channels is tested to determine the channels that are exploitable.

+ + + + + + +

System and communications protection policy

+

procedures addressing covert channel analysis

+

system design documentation

+

system configuration settings and associated documentation

+

list of covert channels

+

covert channel analysis documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with covert channel analysis responsibilities

+ + + + + + +

Organizational process for testing covert channels

+

mechanisms supporting and/or implementing the testing of covert channel analysis

+ + + + + Maximum Bandwidth + + + + + + + + + + +

values for the maximum bandwidth for identified covert channels are defined;

+ + + + + + + + + + +

Reduce the maximum bandwidth for identified covert channels to .

+ + +

The complete elimination of covert channels, especially covert timing channels, is usually not possible without significant performance impacts.

+ + + +

the maximum bandwidth for identified covert channels is reduced to .

+ + + + + + +

System and communications protection policy

+

procedures addressing covert channel analysis

+

acquisition contracts for systems or services

+

acquisition documentation

+

system design documentation

+

system configuration settings and associated documentation

+

covert channel analysis documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with covert channel analysis responsibilities

+

system developers/integrators

+ + + + + + +

Organizational process for conducting covert channel analysis

+

mechanisms supporting and/or implementing covert channel analysis

+

mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels

+ + + + + Measure Bandwidth in Operational Environments + + + + + +

subset of identified covert channels whose bandwidth is to be measured in the operational environment of the system is defined;

+ + + + + + + + + + +

Measure the bandwidth of in the operational environment of the system.

+ + +

Measuring covert channel bandwidth in specified operational environments helps organizations determine how much information can be covertly leaked before such leakage adversely affects mission or business functions. Covert channel bandwidth may be significantly different when measured in settings that are independent of the specific environments of operation, including laboratories or system development environments.

+ + + +

the bandwidth of is measured in the operational environment of the system.

+ + + + + + +

System and communications protection policy

+

procedures addressing covert channel analysis

+

system design documentation

+

system configuration settings and associated documentation

+

covert channel analysis documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel with covert channel analysis responsibilities

+

system developers/integrators

+ + + + + + +

Organizational process for conducting covert channel analysis

+

mechanisms supporting and/or implementing covert channel analysis

+

mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels

+ + + + + + System Partitioning + + + + + +

system components to reside in separate physical or logical domains or environments based on circumstances for the physical or logical separation of components are defined;

+ + + + + + + + + + + + + +

circumstances for the physical or logical separation of components are defined;

+ + + + + + + + + + + + + + + + + + + +

Partition the system into residing in separate domains or environments based on .

+ + +

System partitioning is part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components. Physical separation options include physically distinct components in separate racks in the same room, critical components in separate rooms, and geographical separation of critical components. Security categorization can guide the selection of candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned system components.

+ + + +

the system is partitioned into residing in separate domains or environments based on .

+ + + + + + +

System and communications protection policy

+

procedures addressing system partitioning

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of system physical domains (or environments)

+

system facility diagrams

+

system network diagrams

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

Mechanisms supporting and/or implementing the physical separation of system components

+ + + + Separate Physical Domains for Privileged Functions + + + + + + + + + +

Partition privileged functions into separate physical domains.

+ + +

Privileged functions that operate in a single physical domain may represent a single point of failure if that domain becomes compromised or experiences a denial of service.

+ + + +

privileged functions are partitioned into separate physical domains.

+ + + + + + +

System and communications protection policy

+

procedures addressing system partitioning

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of system physical domains (or environments)

+

system facility diagrams

+

system network diagrams

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

Mechanisms supporting and/or implementing the physical separation of system components

+ + + + + + Transmission Preparation Integrity + + + + + + + + + Non-modifiable Executable Programs + + + + + +

system components for which the operating environment and applications are to be loaded and executed from hardware-enforced, read-only media are defined;

+ + + + + + + +

applications to be loaded and executed from hardware-enforced, read-only media are defined;

+ + + + + + + + + + + + +

For , load and execute:

+ + +

The operating environment from hardware-enforced, read-only media; and

+ + + +

The following applications from hardware-enforced, read-only media: .

+ + + +

The operating environment for a system contains the code that hosts applications, including operating systems, executives, or virtual machine monitors (i.e., hypervisors). It can also include certain applications that run directly on hardware platforms. Hardware-enforced, read-only media include Compact Disc-Recordable (CD-R) and Digital Versatile Disc-Recordable (DVD-R) disk drives as well as one-time, programmable, read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable, read-only memory can be accepted as read-only media provided that integrity can be adequately protected from the point of initial writing to the insertion of the memory into the system, and there are reliable hardware protections against reprogramming the memory while installed in organizational systems.

+ + + + + +

the operating environment for is loaded and executed from hardware-enforced, read-only media;

+ + + + +

for are loaded and executed from hardware-enforced, read-only media.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing non-modifiable executable programs

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of operating system components to be loaded from hardware-enforced, read-only media

+

list of applications to be loaded from hardware-enforced, read-only media

+

media used to load and execute the system operating environment

+

media used to load and execute system applications

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

Mechanisms supporting and/or implementing, loading, and executing the operating environment from hardware-enforced, read-only media

+

mechanisms supporting and/or implementing, loading, and executing applications from hardware-enforced, read-only media

+ + + + No Writable Storage + + + + + +

system components to be employed with no writeable storage are defined;

+ + + + + + + + + + + + +

Employ with no writeable storage that is persistent across component restart or power on/off.

+ + +

Disallowing writeable storage eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated system components. The restriction applies to fixed and removable storage, with the latter being addressed either directly or as specific restrictions imposed through access controls for mobile devices.

+ + + +

are employed with no writeable storage that is persistent across component restart or power on/off.

+ + + + + + +

System and communications protection policy

+

procedures addressing non-modifiable executable programs

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of system components to be employed without writeable storage capabilities

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

Mechanisms supporting and/or implementing the employment of components with no writeable storage

+

mechanisms supporting and/or implementing persistent non-writeable storage across component restart and power on/off

+ + + + + Integrity Protection on Read-only Media + + + + + + + + + + + + + + + + +

Protect the integrity of information prior to storage on read-only media and control the media after such information has been recorded onto the media.

+ + +

Controls prevent the substitution of media into systems or the reprogramming of programmable read-only media prior to installation into the systems. Integrity protection controls include a combination of prevention, detection, and response.

+ + + + + +

the integrity of information is protected prior to storage on read-only media;

+ + + + +

the media is controlled after such information has been recorded onto the media;

+ + + + + + + + +

System and communications protection policy

+

procedures addressing non-modifiable executable programs

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

Mechanisms supporting and/or implementing the capability to protect information integrity on read-only media prior to storage and after information has been recorded onto the media

+ + + + + Hardware-based Protection + + + + + + + + + + External Malicious Code Identification + + + + + + + + + + + +

Include system components that proactively seek to identify network-based malicious code or malicious websites.

+ + +

External malicious code identification differs from decoys in SC-26 in that the components actively probe networks, including the Internet, in search of malicious code contained on external websites. Like decoys, the use of external malicious code identification techniques requires some supporting isolation measures to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational systems. Virtualization is a common technique for achieving such isolation.

+ + + +

system components that proactively seek to identify network-based malicious code or malicious websites are included.

+ + + + + + +

System and communications protection policy

+

procedures addressing external malicious code identification

+

system design documentation

+

system configuration settings and associated documentation

+

system components deployed to identify malicious websites and/or web-based malicious code

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

Automated mechanisms supporting and/or implementing external malicious code identification

+ + + + + Distributed Processing and Storage + + + + + + + + + + + + + + +

processing components to be distributed across multiple locations/domains are defined;

+ + + + + + + + + + +

storage components to be distributed across multiple locations/domains are defined;

+ + + + + + + + + + + + + + + + + + +

Distribute the following processing and storage components across multiple : .

+ + +

Distributing processing and storage across multiple physical locations or logical domains provides a degree of redundancy or overlap for organizations. The redundancy and overlap increase the work factor of adversaries to adversely impact organizational operations, assets, and individuals. The use of distributed processing and storage does not assume a single primary processing or storage location. Therefore, it allows for parallel processing and storage.

+ + + + + +

are distributed across ;

+ + + + +

are distributed across .

+ + + + + + + + +

System and communications protection policy

+

contingency planning policy and procedures

+

contingency plan

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of system physical locations (or environments) with distributed processing and storage

+

system facility diagrams

+

processing site agreements

+

storage site agreements

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel with contingency planning and plan implementation responsibilities

+

system developers/integrators

+ + + + + + +

Organizational processes for distributed processing and storage across multiple physical locations

+

mechanisms supporting and/or implementing the capability to distribute processing and storage across multiple physical locations

+ + + + Polling Techniques + + + + + +

distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises are defined;

+ + + + + + + +

actions to be taken in response to identified faults, errors, or compromise are defined;

+ + + + + + + + + + + + + +

Employ polling techniques to identify potential faults, errors, or compromises to the following processing and storage components: ; and

+ + + +

Take the following actions in response to identified faults, errors, or compromises: .

+ + + +

Distributed processing and/or storage may be used to reduce opportunities for adversaries to compromise the confidentiality, integrity, or availability of organizational information and systems. However, the distribution of processing and storage components does not prevent adversaries from compromising one or more of the components. Polling compares the processing results and/or storage content from the distributed components and subsequently votes on the outcomes. Polling identifies potential faults, compromises, or errors in the distributed processing and storage components.

+ + + + + +

polling techniques are employed to identify potential faults, errors, or compromises to ;

+ + + + +

are taken in response to identified faults, errors, or compromise.

+ + + + + + + + +

System and communications protection policy

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of distributed processing and storage components subject to polling

+

system polling techniques and associated documentation or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

Mechanisms supporting and/or implementing polling techniques

+ + + + + Synchronization + + + + + +

duplicate systems or system components to be synchronized are defined;

+ + + + + + + + + + + +

Synchronize the following duplicate systems or system components: .

+ + +

SC-36 and CP-9(6) require the duplication of systems or system components in distributed locations. The synchronization of duplicated and redundant services and data helps to ensure that information contained in the distributed locations can be used in the mission or business functions of organizations, as needed.

+ + + +

are synchronized.

+ + + + + + +

System and communications protection policy

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of distributed processing and storage components subject to polling

+

system polling techniques and associated documentation or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

Mechanisms supporting and/or implementing duplicate system or system component synchronization

+ + + + + + Out-of-band Channels + + + + + +

out-of-band channels to be employed for the physical delivery or electronic transmission of information, system components, or devices to individuals or the system are defined;

+ + + + + + + +

information, system components, or devices to employ out-of-band-channels for physical delivery or electronic transmission are defined;

+ + + + + + + +

individuals or systems to which physical delivery or electronic transmission of information, system components, or devices is to be achieved via the employment of out-of-band channels are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + +

Employ the following out-of-band channels for the physical delivery or electronic transmission of to : .

+ + +

Out-of-band channels include local, non-network accesses to systems; network paths physically separate from network paths used for operational traffic; or non-electronic paths, such as the U.S. Postal Service. The use of out-of-band channels is contrasted with the use of in-band channels (i.e., the same channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability or exposure as in-band channels. Therefore, the confidentiality, integrity, or availability compromises of in-band channels will not compromise or adversely affect the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of organizational items, including authenticators and credentials; cryptographic key management information; system and data backups; configuration management changes for hardware, firmware, or software; security updates; maintenance information; and malicious code protection updates. For example, cryptographic keys for encrypted files are delivered using a different channel than the file.

+ + + +

are employed for the physical delivery or electronic transmission of to .

+ + + + + + +

System and communications protection policy

+

procedures addressing the use of out-of-band channels

+

access control policy and procedures

+

identification and authentication policy and procedures

+

system design documentation

+

system architecture

+

system configuration settings and associated documentation

+

list of out-of-band channels

+

types of information, system components, or devices requiring the use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or systems

+

physical delivery records

+

electronic transmission records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels

+

system developers/integrators

+ + + + + + +

Organizational processes for the use of out-of-band channels

+

mechanisms supporting and/or implementing the use of out-of-band channels

+ + + + Ensure Delivery and Transmission + + + + + +

controls to be employed to ensure that only designated individuals or systems receive specific information, system components, or devices are defined;

+ + + + + + + +

individuals or systems designated to receive specific information, system components, or devices are defined;

+ + + + + + + +

information, system components, or devices that only individuals or systems are designated to receive are defined;

+ + + + + + + + + + +

Employ to ensure that only receive the following information, system components, or devices: .

+ + +

Techniques employed by organizations to ensure that only designated systems or individuals receive certain information, system components, or devices include sending authenticators via an approved courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.

+ + + +

are employed to ensure that only receive .

+ + + + + + +

System and communications protection policy

+

procedures addressing the use of out-of-band channels

+

access control policy and procedures

+

identification and authentication policy and procedures

+

system design documentation

+

system architecture

+

system configuration settings and associated documentation

+

list of security safeguards to be employed to ensure that designated individuals or systems receive organization-defined information, system components, or devices

+

list of security safeguards for delivering designated information, system components, or devices to designated individuals or systems

+

list of information, system components, or devices to be delivered to designated individuals or systems

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels

+

system developers/integrators

+ + + + + + +

Organizational processes for the use of out-of-band channels

+

mechanisms supporting and/or implementing the use of out-of-band channels

+

mechanisms supporting/implementing safeguards to ensure the delivery of designated information, system components, or devices

+ + + + + + Operations Security + + + + + +

operations security controls to be employed to protect key organizational information throughout the system development life cycle are defined;

+ + + + + + + + + + + + + + + + + + + + +

Employ the following operations security controls to protect key organizational information throughout the system development life cycle: .

+ + +

Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: identification of critical information, analysis of threats, analysis of vulnerabilities, assessment of risks, and the application of appropriate countermeasures. OPSEC controls are applied to organizational systems and the environments in which those systems operate. OPSEC controls protect the confidentiality of information, including limiting the sharing of information with suppliers, potential suppliers, and other non-organizational elements and individuals. Information critical to organizational mission and business functions includes user identities, element uses, suppliers, supply chain processes, functional requirements, security requirements, system design specifications, testing and evaluation protocols, and security control implementation details.

+ + + +

are employed to protect key organizational information throughout the system development life cycle.

+ + + + + + +

System and communications protection policy

+

procedures addressing operations security

+

security plan

+

list of operations security safeguards

+

security control assessments

+

risk assessments

+

threat and vulnerability assessments

+

plans of action and milestones

+

system development life cycle documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

Organizational processes for protecting organizational information throughout the system development life cycle

+

mechanisms supporting and/or implementing safeguards to protect organizational information throughout the system development life cycle

+ + + + + Process Isolation + + + + + + + + + + + + + + + + +

Maintain a separate execution domain for each executing system process.

+ + +

Systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. Process isolation technologies, including sandboxing or virtualization, logically separate software and firmware from other software, firmware, and data. Process isolation helps limit the access of potentially untrusted software to other system resources. The capability to maintain separate execution domains is available in commercial operating systems that employ multi-state processor technologies.

+ + + +

a separate execution domain is maintained for each executing system process.

+ + + + + + +

System design documentation

+

system architecture

+

independent verification and validation documentation

+

testing and evaluation documentation

+

other relevant documents or records

+ + + + + + +

System developers/integrators

+

system security architect

+ + + + + + +

Mechanisms supporting and/or implementing separate execution domains for each executing process

+ + + + Hardware Separation + + + + + + + + +

Implement hardware separation mechanisms to facilitate process isolation.

+ + +

Hardware-based separation of system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Hardware separation mechanisms include hardware memory management.

+ + + +

hardware separation is implemented to facilitate process isolation.

+ + + + + + +

System and communications protection policy

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

system documentation for hardware separation mechanisms

+

system documentation from vendors, manufacturers, or developers

+

independent verification and validation documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

System capability implementing underlying hardware separation mechanisms for process separation

+ + + + + Separate Execution Domain Per Thread + + + + + +

multi-thread processing for which a separate execution domain is to be maintained for each thread is defined;

+ + + + + + + + + + +

Maintain a separate execution domain for each thread in .

+ + +

None.

+ + + +

a separate execution domain is maintained for each thread in .

+ + + + + + +

System and communications protection policy

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of system execution domains for each thread in multi-threaded processing

+

system documentation for multi-threaded processing

+

system documentation from vendors, manufacturers, or developers

+

independent verification and validation documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

System capability implementing a separate execution domain for each thread in multi-threaded processing

+ + + + + + Wireless Link Protection + + + + + + + + + + + + + + +

external wireless links to be protected from particular types of signal parameter attacks are defined;

+ + + + + + +

types of signal parameter attacks or references to sources for such attacks from which to protect external wireless links are defined;

+ + + + + + +

internal wireless links to be protected from particular types of signal parameter attacks are defined;

+ + + + + + +

types of signal parameter attacks or references to sources for such attacks from which to protect internal wireless links are defined;

+ + + + + + + + + + +

Protect external and internal from the following signal parameter attacks: .

+ + +

Wireless link protection applies to internal and external wireless communication links that may be visible to individuals who are not authorized system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or spoof system users. Protection of wireless links reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement wireless link protections to the extent necessary to meet organizational security requirements.

+ + + + + +

external are protected from .

+ + + + +

internal are protected from .

+ + + + + + + + +

System and communications protection policy

+

access control policy and procedures

+

procedures addressing wireless link protection

+

system design documentation

+

wireless network diagrams

+

system configuration settings and associated documentation

+

system architecture

+

list of internal and external wireless links

+

list of signal parameter attacks or references to sources for attacks

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links

+ + + + + + +

Mechanisms supporting and/or implementing the protection of wireless links

+ + + + Electromagnetic Interference + + + + + +

level of protection to be employed against the effects of intentional electromagnetic interference is defined;

+ + + + + + + + + + + + +

Implement cryptographic mechanisms that achieve against the effects of intentional electromagnetic interference.

+ + +

The implementation of cryptographic mechanisms for electromagnetic interference protects systems against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The implementation of cryptographic mechanisms may also coincidentally mitigate the effects of unintentional jamming due to interference from legitimate transmitters that share the same spectrum. Mission requirements, projected threats, concept of operations, and laws, executive orders, directives, regulations, policies, and standards determine levels of wireless link availability, cryptography needed, and performance.

+ + + +

cryptographic mechanisms that achieve against the effects of intentional electromagnetic interference are implemented.

+ + + + + + +

System and communications protection policy

+

access control policy and procedures

+

procedures addressing wireless link protection

+

system design documentation

+

wireless network diagrams

+

system configuration settings and associated documentation

+

system architecture

+

system communications hardware and software

+

security categorization results

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links

+ + + + + + +

Cryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference

+ + + + + Reduce Detection Potential + + + + + +

the level of reduction to be achieved to reduce the detection potential of wireless links is defined;

+ + + + + + + + + + + +

Implement cryptographic mechanisms to reduce the detection potential of wireless links to .

+ + +

The implementation of cryptographic mechanisms to reduce detection potential is used for covert communications and to protect wireless transmitters from geo-location. It also ensures that the spread spectrum waveforms used to achieve a low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable laws, executive orders, directives, regulations, policies, and standards determine the levels to which wireless links are undetectable.

+ + + +

cryptographic mechanisms to reduce the detection potential of wireless links to are implemented.

+ + + + + + +

System and communications protection policy

+

access control policy and procedures

+

procedures addressing wireless link protection

+

system design documentation

+

wireless network diagrams

+

system configuration settings and associated documentation

+

system architecture

+

system communications hardware and software

+

security categorization results

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links

+ + + + + + +

Cryptographic mechanisms enforcing protections to reduce the detection of wireless links

+ + + + + Imitative or Manipulative Communications Deception + + + + + + + + + + +

Implement cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.

+ + +

The implementation of cryptographic mechanisms to identify and reject imitative or manipulative communications ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based on signal parameters alone.

+ + + +

cryptographic mechanisms are implemented to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.

+ + + + + + +

System and communications protection policy

+

access control policy and procedures

+

procedures addressing system design documentation

+

wireless network diagrams

+

system configuration settings and associated documentation

+

system architecture

+

system communications hardware and software

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links

+ + + + + + +

Cryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception

+ + + + + Signal Parameter Identification + + + + + +

wireless transmitters for which cryptographic mechanisms are to be implemented are defined;

+ + + + + + + + + + + +

Implement cryptographic mechanisms to prevent the identification of by using the transmitter signal parameters.

+ + +

The implementation of cryptographic mechanisms to prevent the identification of wireless transmitters protects against the unique identification of wireless transmitters for the purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. It also provides anonymity when required. Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission or user identification.

+ + + +

cryptographic mechanisms are implemented to prevent the identification of by using the transmitter signal parameters.

+ + + + + + +

System and communications protection policy

+

access control policy and procedures

+

procedures addressing system design documentation

+

wireless network diagrams

+

system configuration settings and associated documentation

+

system architecture

+

system communications hardware and software

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links

+ + + + + + +

Cryptographic mechanisms preventing the identification of wireless transmitters

+ + + + + + Port and I/O Device Access + + + + + +

connection ports or input/output devices to be disabled or removed are defined;

+ + + + + + + + + + + + +

systems or system components with connection ports or input/output devices to be disabled or removed are defined;

+ + + + + + + + + + + +

disable or remove on the following systems or system components: .

+ + +

Connection ports include Universal Serial Bus (USB), Thunderbolt, and Firewire (IEEE 1394). Input/output (I/O) devices include compact disc and digital versatile disc drives. Disabling or removing such connection ports and I/O devices helps prevent the exfiltration of information from systems and the introduction of malicious code from those ports or devices. Physically disabling or removing ports and/or devices is the stronger action.

+ + + +

are disabled or removed on .

+ + + + + + +

System and communications protection policy

+

access control policy and procedures

+

procedures addressing port and input/output device access

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

systems or system components

+

list of connection ports or input/output devices to be physically disabled or removed on systems or system components

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

Mechanisms supporting and/or implementing the disabling of connection ports or input/output devices

+ + + + + Sensor Capability and Data + + + + + + + + + + +

environmental sensing capabilities in devices are defined (if selected);

+ + + + + + + +

facilities, areas, or systems where the use of devices possessing environmental sensing capabilities is prohibited are defined (if selected);

+ + + + + + + +

exceptions where remote activation of sensors is allowed are defined (if selected);

+ + + + + + + +

group of users to whom an explicit indication of sensor use is to be provided is defined;

+ + + + + + + + + + + + + +

Prohibit ; and

+ + + +

Provide an explicit indication of sensor use to .

+ + + +

Sensor capability and data applies to types of systems or system components characterized as mobile devices, such as cellular telephones, smart phones, and tablets. Mobile devices often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include microphones, cameras, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the movements of an individual. Organizations may prohibit individuals from bringing cellular telephones or digital cameras into certain designated facilities or controlled areas within facilities where classified information is stored or sensitive conversations are taking place.

+ + + + + +

is/are prohibited;

+ + + + +

an explicit indication of sensor use is provided to .

+ + + + + + + + +

System and communications protection policy

+

procedures addressing sensor capabilities and data collection

+

access control policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for sensor capabilities

+ + + + + + +

Mechanisms implementing access controls for the remote activation of system sensor capabilities

+

mechanisms implementing the capability to indicate sensor use

+ + + + Reporting to Authorized Individuals or Roles + + + + + + +

sensors to be used to collect data or information are defined;

+ + + + + + + + + +

Verify that the system is configured so that data or information collected by the is only reported to authorized individuals or roles.

+ + +

In situations where sensors are activated by authorized individuals, it is still possible that the data or information collected by the sensors will be sent to unauthorized entities.

+ + + +

the system is configured so that data or information collected by the is only reported to authorized individuals or roles.

+ + + + + + +

System and communications protection policy

+

access control policy and procedures

+

procedures addressing sensor capability and data collection

+

personally identifiable information processing policy

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for the sensor capabilities

+ + + + + + +

Mechanisms restricting the reporting of sensor information to those authorized

+

sensor data collection and reporting capabilities for the system

+ + + + + Authorized Use + + + + + +

measures to be employed so that data or information collected by sensors is only used for authorized purposes are defined;

+ + + + + + + + + + + +

Employ the following measures so that data or information collected by is only used for authorized purposes: .

+ + +

Information collected by sensors for a specific authorized purpose could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track the movements of individuals. Measures to mitigate such activities include additional training to help ensure that authorized individuals do not abuse their authority and, in the case where sensor data is maintained by external parties, contractual restrictions on the use of such data.

+ + + +

are employed so that data or information collected by is only used for authorized purposes.

+ + + + + + +

System and communications protection policy

+

access control policy and procedures

+

personally identifiable information processing policy

+

sensor capability and data collection

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

list of measures to be employed to that the ensure data or information collected by sensors is only used for authorized purposes

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for sensor capabilities

+ + + + + + +

Mechanisms supporting and/or implementing measures to ensure that sensor information is only used for authorized purposes

+

sensor information collection capability for the system

+ + + + + Prohibit Use of Devices + + + + + + + + + Notice of Collection + + + + + +

measures to facilitate an individual’s awareness that personally identifiable information is being collected are defined;

+ + + + + + + +

sensors that collect personally identifiable information are defined;

+ + + + + + + + + + + + +

Employ the following measures to facilitate an individual’s awareness that personally identifiable information is being collected by : .

+ + +

Awareness that organizational sensors are collecting data enables individuals to more effectively engage in managing their privacy. Measures can include conventional written notices and sensor configurations that make individuals directly or indirectly aware through other devices that the sensor is collecting information. The usability and efficacy of the notice are important considerations.

+ + + +

are employed to facilitate an individual’s awareness that personally identifiable information is being collected by

+ + + + + + +

System and communications protection policy

+

access control policy and procedures

+

personally identifiable information processing policy

+

sensor capability and data collection policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

privacy risk assessment documentation

+

privacy impact assessments

+

system architecture

+

list of measures to be employed to ensure that individuals are aware that personally identifiable information is being collected by sensors

+

examples of notifications provided to individuals that personally identifiable information is being collected by sensors

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for sensor capabilities

+ + + + + + +

Mechanisms supporting and/or implementing measures to facilitate an individual’s awareness that personally identifiable information is being collected by sensors

+

sensor information collection capabilities for the system

+ + + + + Collection Minimization + + + + + +

the sensors that are configured to minimize the collection of unneeded information about individuals are defined;

+ + + + + + + + + + + +

Employ that are configured to minimize the collection of information about individuals that is not needed.

+ + +

Although policies to control for authorized use can be applied to information once it is collected, minimizing the collection of information that is not needed mitigates privacy risk at the system entry point and mitigates the risk of policy control failures. Sensor configurations include the obscuring of human features, such as blurring or pixelating flesh tones.

+ + + +

the configured to minimize the collection of information about individuals that is not needed are employed.

+ + + + + + +

System and communications protection policy

+

access control policy and procedures

+

personally identifiable information processing policy

+

sensor capability and data collection policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

privacy risk assessment documentation

+

privacy impact assessments

+

system architecture

+

list of information being collected by sensors

+

list of sensor configurations that minimize the collection of personally identifiable information (e.g., obscure human features)

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for sensor capabilities

+ + + + + + +

Mechanisms supporting and/or implementing measures to facilitate the review of information that is being collected by sensors

+

sensor information collection capabilities for the system

+ + + + + + Usage Restrictions + + + + + + +

the components for which usage restrictions and implementation guidance are to be established are defined;

+ + + + + + + + + + + + + + + + + + +

Establish usage restrictions and implementation guidelines for the following system components: ; and

+ + + +

Authorize, monitor, and control the use of such components within the system.

+ + + +

Usage restrictions apply to all system components including but not limited to mobile code, mobile devices, wireless access, and wired and wireless peripheral components (e.g., copiers, printers, scanners, optical devices, and other similar technologies). The usage restrictions and implementation guidelines are based on the potential for system components to cause damage to the system and help to ensure that only authorized system use occurs.

+ + + + + +

usage restrictions and implementation guidelines are established for ;

+ + + + + + +

the use of is authorized within the system;

+ + + + +

the use of is monitored within the system;

+ + + + +

the use of is controlled within the system.

+ + + + + + + + + + +

System and communications protection policy

+

usage restrictions

+

procedures addressing usage restrictions

+

implementation policy and procedures

+

authorization records

+

system monitoring records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

Organizational processes for authorizing, monitoring, and controlling the use of components with usage restrictions

+

mechanisms supporting and/or implementing, authorizing, monitoring, and controlling the use of components with usage restrictions

+ + + + + Detonation Chambers + + + + + +

the system, system component, or location where a detonation chamber capability is to be employed is defined;

+ + + + + + + + + + + + + + + + + + +

Employ a detonation chamber capability within .

+ + +

Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator requests in the safety of an isolated environment or a virtualized sandbox. Protected and isolated execution environments provide a means of determining whether the associated attachments or applications contain malicious code. While related to the concept of deception nets, the employment of detonation chambers is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, detonation chambers are intended to quickly identify malicious code and either reduce the likelihood that the code is propagated to user environments of operation or prevent such propagation completely.

+ + + +

a detonation chamber capability is employed within the .

+ + + + + + +

System and communications protection policy

+

procedures addressing detonation chambers

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

Mechanisms supporting and/or implementing the detonation chamber capability

+ + + + + System Time Synchronization + + + + + + + + + + + +

Synchronize system clocks within and between systems and system components.

+ + +

Time synchronization of system clocks is essential for the correct execution of many system services, including identification and authentication processes that involve certificates and time-of-day restrictions as part of access control. Denial of service or failure to deny expired credentials may result without properly synchronized clocks within and between systems and system components. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, such as clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for system components. Time service can be critical to other security capabilities—such as access control and identification and authentication—depending on the nature of the mechanisms used to support the capabilities.

+ + + +

system clocks are synchronized within and between systems and system components.

+ + + + + + +

System and communications protection policy

+

procedures addressing time synchronization

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

Mechanisms supporting and/or implementing system time synchronization

+ + + + Synchronization with Authoritative Time Source + + + + + +

the frequency at which to compare the internal system clocks with the authoritative time source is defined;

+ + + + + + + +

the authoritative time source to which internal system clocks are to be compared is defined;

+ + + + + + + +

the time period to compare the internal system clocks with the authoritative time source is defined;

+ + + + + + + + + + + +

Compare the internal system clocks with ; and

+ + + +

Synchronize the internal system clocks to the authoritative time source when the time difference is greater than .

+ + + +

Synchronization of internal system clocks with an authoritative source provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network.

+ + + + + +

the internal system clocks are compared with ;

+ + + + +

the internal system clocks are synchronized with the authoritative time source when the time difference is greater than .

+ + + + + + + + +

System and communications protection policy

+

procedures addressing time synchronization

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

Mechanisms supporting and/or implementing system time synchronization

+ + + + + Secondary Authoritative Time Source + + + + + + + + + +

Identify a secondary authoritative time source that is in a different geographic region than the primary authoritative time source; and

+ + + +

Synchronize the internal system clocks to the secondary authoritative time source if the primary authoritative time source is unavailable.

+ + + +

It may be necessary to employ geolocation information to determine that the secondary authoritative time source is in a different geographic region.

+ + + + + +

a secondary authoritative time source is identified that is in a different geographic region than the primary authoritative time source;

+ + + + +

the internal system clocks are synchronized to the secondary authoritative time source if the primary authoritative time source is unavailable.

+ + + + + + + + +

System and communications protection policy

+

procedures addressing time synchronization

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

Mechanisms supporting and/or implementing system time synchronization with secondary authoritative time sources

+ + + + + + Cross Domain Policy Enforcement + + + + + + + + + + + + + + +

Implement a policy enforcement mechanism between the physical and/or network interfaces for the connecting security domains.

+ + +

For logical policy enforcement mechanisms, organizations avoid creating a logical path between interfaces to prevent the ability to bypass the policy enforcement mechanism. For physical policy enforcement mechanisms, the robustness of physical isolation afforded by the physical implementation of policy enforcement to preclude the presence of logical covert channels penetrating the security domain may be needed. Contact ncdsmo@nsa.gov for more information.

+ + + +

a policy enforcement mechanism is implemented between the physical and/or network interfaces for the connecting security domains.

+ + + + + + +

System and communications protection policy

+

procedures addressing cross-domain policy enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

Mechanisms supporting and/or implementing cross-domain policy enforcement

+ + + + + Alternate Communications Paths + + + + + + +

alternate communication paths for system operations and operational command and control are defined;

+ + + + + + + + + + + + + + +

Establish for system operations organizational command and control.

+ + +

An incident, whether adversarial- or nonadversarial-based, can disrupt established communications paths used for system operations and organizational command and control. Alternate communications paths reduce the risk of all communications paths being affected by the same incident. To compound the problem, the inability of organizational officials to obtain timely information about disruptions or to provide timely direction to operational elements after a communications path incident, can impact the ability of the organization to respond to such incidents in a timely manner. Establishing alternate communications paths for command and control purposes, including designating alternative decision makers if primary decision makers are unavailable and establishing the extent and limitations of their actions, can greatly facilitate the organization’s ability to continue to operate and take appropriate actions during an incident.

+ + + +

are established for system operations and operational command and control.

+ + + + + + +

System and communications protection policy

+

procedures addressing communication paths

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+ + + + + + +

Mechanisms supporting and/or implementing alternate communication paths for system operations

+ + + + + Sensor Relocation + + + + + +

sensors and monitoring capabilities to be relocated are defined;

+ + + + + + + +

locations to where sensors and monitoring capabilities are to be relocated are defined;

+ + + + + + + +

conditions or circumstances for relocating sensors and monitoring capabilities are defined;

+ + + + + + + + + + + + + +

Relocate to under the following conditions or circumstances: .

+ + +

Adversaries may take various paths and use different approaches as they move laterally through an organization (including its systems) to reach their target or as they attempt to exfiltrate information from the organization. The organization often only has a limited set of monitoring and detection capabilities, and they may be focused on the critical or likely infiltration or exfiltration paths. By using communications paths that the organization typically does not monitor, the adversary can increase its chances of achieving its desired goals. By relocating its sensors or monitoring capabilities to new locations, the organization can impede the adversary’s ability to achieve its goals. The relocation of the sensors or monitoring capabilities might be done based on threat information that the organization has acquired or randomly to confuse the adversary and make its lateral transition through the system or organization more challenging.

+ + + +

are relocated to under .

+ + + + + + +

System and communications protection policy

+

procedures addressing sensor and monitoring capability relocation

+

list of sensors/monitoring capabilities to be relocated

+

change control records

+

configuration management records

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

Mechanisms supporting and/or implementing sensor relocation

+ + + + Dynamic Relocation of Sensors or Monitoring Capabilities + + + + + +

sensors and monitoring capabilities to be dynamically relocated are defined;

+ + + + + + + +

locations to where sensors and monitoring capabilities are to be dynamically relocated are defined;

+ + + + + + + +

conditions or circumstances for dynamically relocating sensors and monitoring capabilities are defined;

+ + + + + + + + + + +

Dynamically relocate to under the following conditions or circumstances: .

+ + +

None.

+ + + +

are dynamically relocated to under .

+ + + + + + +

System and communications protection policy

+

procedures addressing sensor and monitoring capability relocation

+

list of sensors/monitoring capabilities to be relocated

+

change control records

+

configuration management records

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

SELECT FROM: Mechanisms supporting and/or implementing sensor relocation

+ + + + + + Hardware-enforced Separation and Policy Enforcement + + + + + +

security domains requiring hardware-enforced separation and policy enforcement mechanisms are defined;

+ + + + + + + + + + + + + + +

Implement hardware-enforced separation and policy enforcement mechanisms between .

+ + +

System owners may require additional strength of mechanism and robustness to ensure domain separation and policy enforcement for specific types of threats and environments of operation. Hardware-enforced separation and policy enforcement provide greater strength of mechanism than software-enforced separation and policy enforcement.

+ + + +

hardware-enforced separation and policy enforcement mechanisms are implemented between .

+ + + + + + +

System and communications protection policy

+

procedures addressing cross-domain policy enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

Mechanisms supporting and/or implementing hardware-enforced security domain separation and policy enforcement

+ + + + + Software-enforced Separation and Policy Enforcement + + + + + +

security domains requiring software-enforced separation and policy enforcement mechanisms are defined;

+ + + + + + + + + + + + + + + + + +

Implement software-enforced separation and policy enforcement mechanisms between .

+ + +

System owners may require additional strength of mechanism to ensure domain separation and policy enforcement for specific types of threats and environments of operation.

+ + + +

software-enforced separation and policy enforcement mechanisms are implemented between .

+ + + + + + +

System and communications protection policy

+

procedures addressing cross-domain policy enforcement

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+ + + + + + +

Mechanisms supporting and/or implementing software-enforced separation and policy enforcement

+ + + + + Hardware-based Protection + + + + + +

system firmware components requiring hardware-based write-protect are defined;

+ + + + + + + +

authorized individuals requiring procedures for disabling and re-enabling hardware write-protect are defined;

+ + + + + + + + + + + + +

Employ hardware-based, write-protect for ; and

+ + + +

Implement specific procedures for to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.

+ + + +

None.

+ + + + + +

hardware-based write-protect for is employed;

+ + + + + + +

specific procedures are implemented for to manually disable hardware write-protect for firmware modifications;

+ + + + +

specific procedures are implemented for to re-enable the write-protect prior to returning to operational mode.

+ + + + + + + + + + +

System and communications protection policy

+

procedures addressing firmware modifications

+

system design documentation

+

system configuration settings and associated documentation

+

system architecture

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

system developers/integrators

+ + + + + + +

Organizational processes for modifying system firmware

+

mechanisms supporting and/or implementing hardware-based write-protection for system firmware

+ + + + + + System and Information Integrity + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom the system and information integrity policy is to be disseminated is/are defined;

+ + + + + + +

personnel or roles to whom the system and information integrity procedures are to be disseminated is/are defined;

+ + + + + + + + + + + + +

an official to manage the system and information integrity policy and procedures is defined;

+ + + + + + + +

the frequency at which the current system and information integrity policy is reviewed and updated is defined;

+ + + + + + + +

events that would require the current system and information integrity policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current system and information integrity procedures are reviewed and updated is defined;

+ + + + + + + +

events that would require the system and information integrity procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

system and information integrity policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and

+ + + +

Review and update the current system and information integrity:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

System and information integrity policy and procedures address the controls in the SI family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and information integrity policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and information integrity policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a system and information integrity policy is developed and documented;

+ + + + +

the system and information integrity policy is disseminated to ;

+ + + + +

system and information integrity procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls are developed and documented;

+ + + + +

the system and information integrity procedures are disseminated to ;

+ + + + + + + + +

the system and information integrity policy addresses purpose;

+ + + + +

the system and information integrity policy addresses scope;

+ + + + +

the system and information integrity policy addresses roles;

+ + + + +

the system and information integrity policy addresses responsibilities;

+ + + + +

the system and information integrity policy addresses management commitment;

+ + + + +

the system and information integrity policy addresses coordination among organizational entities;

+ + + + +

the system and information integrity policy addresses compliance;

+ + + + + + +

the system and information integrity policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the system and information integrity policy and procedures;

+ + + + + + + + +

the current system and information integrity policy is reviewed and updated ;

+ + + + +

the current system and information integrity policy is reviewed and updated following ;

+ + + + + + + + +

the current system and information integrity procedures are reviewed and updated ;

+ + + + +

the current system and information integrity procedures are reviewed and updated following .

+ + + + + + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and information integrity responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + Flaw Remediation + + + + + +

time period within which to install security-relevant software updates after the release of the updates is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Identify, report, and correct system flaws;

+ + + +

Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;

+ + + +

Install security-relevant software and firmware updates within of the release of the updates; and

+ + + +

Incorporate flaw remediation into the organizational configuration management process.

+ + + +

The need to remediate system flaws applies to all types of software and firmware. Organizations identify systems affected by software flaws, including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security and privacy responsibilities. Security-relevant updates include patches, service packs, and malicious code signatures. Organizations also address flaws discovered during assessments, continuous monitoring, incident response activities, and system error handling. By incorporating flaw remediation into configuration management processes, required remediation actions can be tracked and verified.

+

Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of risk factors, including the security category of the system, the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw), the organizational risk tolerance, the mission supported by the system, or the threat environment. Some types of flaw remediation may require more testing than other types. Organizations determine the type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software or firmware updates is not necessary or practical, such as when implementing simple malicious code signature updates. In testing decisions, organizations consider whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.

+ + + + + + + +

system flaws are identified;

+ + + + +

system flaws are reported;

+ + + + +

system flaws are corrected;

+ + + + + + + + +

software updates related to flaw remediation are tested for effectiveness before installation;

+ + + + +

software updates related to flaw remediation are tested for potential side effects before installation;

+ + + + +

firmware updates related to flaw remediation are tested for effectiveness before installation;

+ + + + +

firmware updates related to flaw remediation are tested for potential side effects before installation;

+ + + + + + + + +

security-relevant software updates are installed within of the release of the updates;

+ + + + +

security-relevant firmware updates are installed within of the release of the updates;

+ + + + + + +

flaw remediation is incorporated into the organizational configuration management process.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing flaw remediation

+

procedures addressing configuration management

+

list of flaws and vulnerabilities potentially affecting the system

+

list of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws)

+

test results from the installation of software and firmware updates to correct system flaws

+

installation/change control records for security-relevant software and firmware updates

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel responsible for installing, configuring, and/or maintaining the system

+

organizational personnel responsible for flaw remediation

+

organizational personnel with configuration management responsibilities

+ + + + + + +

Organizational processes for identifying, reporting, and correcting system flaws

+

organizational process for installing software and firmware updates

+

mechanisms supporting and/or implementing the reporting and correcting of system flaws

+

mechanisms supporting and/or implementing testing software and firmware updates

+ + + + Central Management + + + + + + + + + Automated Flaw Remediation Status + + + + + +

automated mechanisms to determine if applicable security-relevant software and firmware updates are installed on system components are defined;

+ + + + + + + +

the frequency at which to determine if applicable security-relevant software and firmware updates are installed on system components is defined;

+ + + + + + + + + + + +

Determine if system components have applicable security-relevant software and firmware updates installed using .

+ + +

Automated mechanisms can track and determine the status of known flaws for system components.

+ + + +

system components have applicable security-relevant software and firmware updates installed using .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing flaw remediation

+

automated mechanisms supporting centralized management of flaw remediation

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for flaw remediation

+ + + + + + +

Automated mechanisms used to determine the state of system components with regard to flaw remediation

+ + + + + Time to Remediate Flaws and Benchmarks for Corrective Actions + + + + + +

the benchmarks for taking corrective actions are defined;

+ + + + + + + + + + + +

Measure the time between flaw identification and flaw remediation; and

+ + + +

Establish the following benchmarks for taking corrective actions: .

+ + + +

Organizations determine the time it takes on average to correct system flaws after such flaws have been identified and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited.

+ + + + + +

the time between flaw identification and flaw remediation is measured;

+ + + + +

for taking corrective actions have been established.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing flaw remediation

+

system design documentation

+

system configuration settings and associated documentation

+

list of benchmarks for taking corrective action on identified flaws

+

records that provide timestamps of flaw identification and subsequent flaw remediation activities

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for flaw remediation

+ + + + + + +

Organizational processes for identifying, reporting, and correcting system flaws

+

mechanisms used to measure the time between flaw identification and flaw remediation

+ + + + + Automated Patch Management Tools + + + + + + +

the system components requiring automated patch management tools to facilitate flaw remediation are defined;

+ + + + + + + + + + +

Employ automated patch management tools to facilitate flaw remediation to the following system components: .

+ + +

Using automated tools to support patch management helps to ensure the timeliness and completeness of system patching operations.

+ + + +

automated patch management tools are employed to facilitate flaw remediation to .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing flaw remediation

+

mechanisms supporting flaw remediation and automatic software/firmware updates

+

system design documentation

+

system configuration settings and associated documentation

+

list of system flaws

+

records of recent security-relevant software and firmware updates that are automatically installed to system components

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for flaw remediation

+ + + + + + +

Automated patch management tools

+

mechanisms implementing automatic software/firmware updates

+

mechanisms facilitating flaw remediation to system components

+ + + + + Automatic Software and Firmware Updates + + + + + +

security-relevant software and firmware updates to be automatically installed to system components are defined;

+ + + + + + + +

system components requiring security-relevant software updates to be automatically installed are defined;

+ + + + + + + + + + +

Install automatically to .

+ + +

Due to system integrity and availability concerns, organizations consider the methodology used to carry out automatic updates. Organizations balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and control with any mission or operational impacts that automatic updates might impose.

+ + + +

are installed automatically to .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing flaw remediation

+

mechanisms supporting flaw remediation and automatic software/firmware updates

+

system design documentation

+

system configuration settings and associated documentation

+

records of recent security-relevant software and firmware updates automatically installed to system components

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for flaw remediation

+ + + + + + +

Mechanisms implementing automatic software/firmware updates

+ + + + + Removal of Previous Versions of Software and Firmware + + + + + +

software and firmware components to be removed after updated versions have been installed are defined;

+ + + + + + + + + + +

Remove previous versions of after updated versions have been installed.

+ + +

Previous versions of software or firmware components that are not removed from the system after updates have been installed may be exploited by adversaries. Some products may automatically remove previous versions of software and firmware from the system.

+ + + +

previous versions of are removed after updated versions have been installed.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing flaw remediation

+

mechanisms supporting flaw remediation

+

system design documentation

+

system configuration settings and associated documentation

+

records of software and firmware component removals after updated versions are installed

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for flaw remediation

+ + + + + + +

Mechanisms supporting and/or implementing the removal of previous versions of software/firmware

+ + + + + + Malicious Code Protection + + + + + + + + + + +

the frequency at which malicious code protection mechanisms perform scans is defined;

+ + + + + + + + + + + + + + + + + +

action to be taken in response to malicious code detection are defined (if selected);

+ + + + + + + +

personnel or roles to be alerted when malicious code is detected is/are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Implement malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;

+ + + +

Automatically update malicious code protection mechanisms as new releases are available in accordance with organizational configuration management policy and procedures;

+ + + +

Configure malicious code protection mechanisms to:

+ + +

Perform periodic scans of the system and real-time scans of files from external sources at as the files are downloaded, opened, or executed in accordance with organizational policy; and

+ + + +

; and send alert to in response to malicious code detection; and

+ + + + +

Address the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system.

+ + + +

System entry and exit points include firewalls, remote access servers, workstations, electronic mail servers, web servers, proxy servers, notebook computers, and mobile devices. Malicious code includes viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats contained within compressed or hidden files or hidden in files using techniques such as steganography. Malicious code can be inserted into systems in a variety of ways, including by electronic mail, the world-wide web, and portable storage devices. Malicious code insertions occur through the exploitation of system vulnerabilities. A variety of technologies and methods exist to limit or eliminate the effects of malicious code.

+

Malicious code protection mechanisms include both signature- and nonsignature-based technologies. Nonsignature-based detection mechanisms include artificial intelligence techniques that use heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide controls against such code for which signatures do not yet exist or for which existing signatures may not be effective. Malicious code for which active signatures do not yet exist or may be ineffective includes polymorphic malicious code (i.e., code that changes signatures when it replicates). Nonsignature-based mechanisms also include reputation-based technologies. In addition to the above technologies, pervasive configuration management, comprehensive software integrity controls, and anti-exploitation software may be effective in preventing the execution of unauthorized code. Malicious code may be present in commercial off-the-shelf software as well as custom-built software and could include logic bombs, backdoors, and other types of attacks that could affect organizational mission and business functions.

+

In situations where malicious code cannot be detected by detection methods or technologies, organizations rely on other types of controls, including secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to ensure that software does not perform functions other than the functions intended. Organizations may determine that, in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, the detection of malicious downloads, or the detection of maliciousness when attempting to open or execute files.

+ + + + + + + +

malicious code protection mechanisms are implemented at system entry and exit points to detect malicious code;

+ + + + +

malicious code protection mechanisms are implemented at system entry and exit points to eradicate malicious code;

+ + + + + + +

malicious code protection mechanisms are updated automatically as new releases are available in accordance with organizational configuration management policy and procedures;

+ + + + + + + + +

malicious code protection mechanisms are configured to perform periodic scans of the system ;

+ + + + +

malicious code protection mechanisms are configured to perform real-time scans of files from external sources at as the files are downloaded, opened, or executed in accordance with organizational policy;

+ + + + + + + + +

malicious code protection mechanisms are configured to in response to malicious code detection;

+ + + + +

malicious code protection mechanisms are configured to send alerts to in response to malicious code detection;

+ + + + + + + + +

the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system are addressed.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

configuration management policy and procedures

+

procedures addressing malicious code protection

+

malicious code protection mechanisms

+

records of malicious code protection updates

+

system design documentation

+

system configuration settings and associated documentation

+

scan results from malicious code protection mechanisms

+

record of actions initiated by malicious code protection mechanisms in response to malicious code detection

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for malicious code protection

+

organizational personnel with configuration management responsibilities

+ + + + + + +

Organizational processes for employing, updating, and configuring malicious code protection mechanisms

+

organizational processes for addressing false positives and resulting potential impacts

+

mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms

+

mechanisms supporting and/or implementing malicious code scanning and subsequent actions

+ + + + Central Management + + + + + + + + + Automatic Updates + + + + + + + + + Non-privileged Users + + + + + + + + + Updates Only by Privileged Users + + + + + + + + + +

Update malicious code protection mechanisms only when directed by a privileged user.

+ + +

Protection mechanisms for malicious code are typically categorized as security-related software and, as such, are only updated by organizational personnel with appropriate access privileges.

+ + + +

malicious code protection mechanisms are updated only when directed by a privileged user.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing malicious code protection

+

list of privileged users on system

+

system design documentation

+

malicious code protection mechanisms

+

records of malicious code protection updates

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for malicious code protection

+ + + + + + +

Mechanisms supporting and/or implementing malicious code protection capabilities

+ + + + + Portable Storage Devices + + + + + + + + + Testing and Verification + + + + + +

the frequency at which to test malicious code protection mechanisms is defined;

+ + + + + + + + + + + + + + +

Test malicious code protection mechanisms by introducing known benign code into the system; and

+ + + +

Verify that the detection of the code and the associated incident reporting occur.

+ + + +

None.

+ + + + + +

malicious code protection mechanisms are tested by introducing known benign code into the system;

+ + + + + + +

the detection of (benign test) code occurs;

+ + + + +

the associated incident reporting occurs.

+ + + + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing malicious code protection

+

system design documentation

+

system configuration settings and associated documentation

+

test cases

+

records providing evidence of test cases executed on malicious code protection mechanisms

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for malicious code protection

+ + + + + + +

Mechanisms supporting and/or implementing the testing and verification of malicious code protection capabilities

+ + + + + Nonsignature-based Detection + + + + + + + + + Detect Unauthorized Commands + + + + + +

system hardware components for which unauthorized operating system commands are to be detected through the kernel application programming interface are defined;

+ + + + + + + +

unauthorized operating system commands to be detected are defined;

+ + + + + + + + + + + + + + + + + + + +

Detect the following unauthorized operating system commands through the kernel application programming interface on : ; and

+ + + +

.

+ + + +

Detecting unauthorized commands can be applied to critical interfaces other than kernel-based interfaces, including interfaces with virtual machines and privileged applications. Unauthorized operating system commands include commands for kernel functions from system processes that are not trusted to initiate such commands as well as commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can also define hardware components by component type, component, component location in the network, or a combination thereof. Organizations may select different actions for different types, classes, or instances of malicious commands.

+ + + + + +

are detected through the kernel application programming interface on ;

+ + + + +

is/are performed.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing malicious code protection

+

system design documentation

+

malicious code protection mechanisms

+

warning messages sent upon the detection of unauthorized operating system command execution

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for malicious code protection

+ + + + + + +

Mechanisms supporting and/or implementing malicious code protection capabilities

+

mechanisms supporting and/or implementing the detection of unauthorized operating system commands through the kernel application programming interface

+ + + + + Authenticate Remote Commands + + + + + + + + Malicious Code Analysis + + + + + +

tools and techniques to be employed to analyze the characteristics and behavior of malicious code are defined;

+ + + + + + + + + + + +

Employ the following tools and techniques to analyze the characteristics and behavior of malicious code: ; and

+ + + +

Incorporate the results from malicious code analysis into organizational incident response and flaw remediation processes.

+ + + +

The use of malicious code analysis tools provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by employing reverse engineering techniques or by monitoring the behavior of executing code.

+ + + + + +

are employed to analyze the characteristics and behavior of malicious code;

+ + + + + + +

the results from malicious code analysis are incorporated into organizational incident response processes;

+ + + + +

the results from malicious code analysis are incorporated into organizational flaw remediation processes.

+ + + + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing malicious code protection

+

procedures addressing incident response

+

procedures addressing flaw remediation

+

system design documentation

+

malicious code protection mechanisms, tools, and techniques

+

system configuration settings and associated documentation

+

results from malicious code analyses

+

records of flaw remediation events resulting from malicious code analyses

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for malicious code protection

+

organizational personnel responsible for flaw remediation

+

organizational personnel responsible for incident response/management

+ + + + + + +

Organizational process for incident response

+

organizational process for flaw remediation

+

mechanisms supporting and/or implementing malicious code protection capabilities

+

tools and techniques for the analysis of malicious code characteristics and behavior

+ + + + + + System Monitoring + + + + + +

monitoring objectives to detect attacks and indicators of potential attacks on the system are defined;

+ + + + + + + +

techniques and methods used to identify unauthorized use of the system are defined;

+ + + + + + + +

system monitoring information to be provided to personnel or roles is defined;

+ + + + + + + +

personnel or roles to whom system monitoring information is to be provided is/are defined;

+ + + + + + + + + + + + +

a frequency for providing system monitoring to personnel or roles is defined (if selected);

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Monitor the system to detect:

+ + +

Attacks and indicators of potential attacks in accordance with the following monitoring objectives: ; and

+ + + +

Unauthorized local, network, and remote connections;

+ + + + +

Identify unauthorized use of the system through the following techniques and methods: ;

+ + + +

Invoke internal monitoring capabilities or deploy monitoring devices:

+ + +

Strategically within the system to collect organization-determined essential information; and

+ + + +

At ad hoc locations within the system to track specific types of transactions of interest to the organization;

+ + + + +

Analyze detected events and anomalies;

+ + + +

Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;

+ + + +

Obtain legal opinion regarding system monitoring activities; and

+ + + +

Provide to .

+ + + +

System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at external interfaces to the system. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capabilities are achieved through a variety of tools and techniques, including intrusion detection and prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software.

+

Depending on the security architecture, the distribution and configuration of monitoring devices may impact throughput at key internal and external boundaries as well as at other locations across a network due to the introduction of network throughput latency. If throughput management is needed, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include selected perimeter locations and near key servers and server farms that support critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls SC-7 and AC-17 . The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include Hypertext Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs, and output from system monitoring serves as input to those programs. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other controls (e.g., AC-2g, AC-2(7), AC-2(12)(a), AC-17(1), AU-13, AU-13(1), AU-13(2), CM-3f, CM-6d, MA-3a, MA-4a, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18b, SC-43b ). Adjustments to levels of system monitoring are based on law enforcement information, intelligence information, or other sources of information. The legality of system monitoring activities is based on applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

+ + + + + + + +

the system is monitored to detect attacks and indicators of potential attacks in accordance with ;

+ + + + + + +

the system is monitored to detect unauthorized local connections;

+ + + + +

the system is monitored to detect unauthorized network connections;

+ + + + +

the system is monitored to detect unauthorized remote connections;

+ + + + + + + + +

unauthorized use of the system is identified through ;

+ + + + + + +

internal monitoring capabilities are invoked or monitoring devices are deployed strategically within the system to collect organization-determined essential information;

+ + + + +

internal monitoring capabilities are invoked or monitoring devices are deployed at ad hoc locations within the system to track specific types of transactions of interest to the organization;

+ + + + + + + + +

detected events are analyzed;

+ + + + +

detected anomalies are analyzed;

+ + + + + + +

the level of system monitoring activity is adjusted when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;

+ + + + +

a legal opinion regarding system monitoring activities is obtained;

+ + + + +

is provided to .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

continuous monitoring strategy

+

facility diagram/layout

+

system design documentation

+

system monitoring tools and techniques documentation

+

locations within the system where monitoring devices are deployed

+

system configuration settings and associated documentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+ + + + + + +

Organizational processes for system monitoring

+

mechanisms supporting and/or implementing system monitoring capabilities

+ + + + System-wide Intrusion Detection System + + + + + + + + + +

Connect and configure individual intrusion detection tools into a system-wide intrusion detection system.

+ + +

Linking individual intrusion detection tools into a system-wide intrusion detection system provides additional coverage and effective detection capabilities. The information contained in one intrusion detection tool can be shared widely across the organization, making the system-wide detection capability more robust and powerful.

+ + + + + +

individual intrusion detection tools are connected to a system-wide intrusion detection system;

+ + + + +

individual intrusion detection tools are configured into a system-wide intrusion detection system.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection capabilities

+ + + + + Automated Tools and Mechanisms for Real-time Analysis + + + + + + + + + + +

Employ automated tools and mechanisms to support near real-time analysis of events.

+ + +

Automated tools and mechanisms include host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or security information and event management (SIEM) technologies that provide real-time analysis of alerts and notifications generated by organizational systems. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.

+ + + +

automated tools and mechanisms are employed to support a near real-time analysis of events.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

privacy plan

+

privacy program plan

+

privacy impact assessment

+

privacy risk management documentation

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for incident response/management

+ + + + + + +

Organizational processes for the near real-time analysis of events

+

organizational processes for system monitoring

+

mechanisms supporting and/or implementing system monitoring

+

mechanisms/tools supporting and/or implementing an analysis of events

+ + + + + Automated Tool and Mechanism Integration + + + + + + + + + + +

Employ automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access control and flow control mechanisms.

+ + +

Using automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access and flow control mechanisms facilitates a rapid response to attacks by enabling the reconfiguration of mechanisms in support of attack isolation and elimination.

+ + + + + +

automated tools and mechanisms are employed to integrate intrusion detection tools and mechanisms into access control mechanisms;

+ + + + +

automated tools and mechanisms are employed to integrate intrusion detection tools and mechanisms into flow control mechanisms.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

access control policy and procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing the intrusion detection and system monitoring capability

+

mechanisms and tools supporting and/or implementing the access and flow control capabilities

+

mechanisms and tools supporting and/or implementing the integration of intrusion detection tools into the access and flow control mechanisms

+ + + + + Inbound and Outbound Communications Traffic + + + + + + + + + + + + + + +

the frequency at which to monitor inbound communications traffic for unusual or unauthorized activities or conditions is defined;

+ + + + + + +

unusual or unauthorized activities or conditions that are to be monitored in inbound communications traffic are defined;

+ + + + + + +

the frequency at which to monitor outbound communications traffic for unusual or unauthorized activities or conditions is defined;

+ + + + + + +

unusual or unauthorized activities or conditions that are to be monitored in outbound communications traffic are defined;

+ + + + + + + + + + + + +

Determine criteria for unusual or unauthorized activities or conditions for inbound and outbound communications traffic;

+ + + +

Monitor inbound and outbound communications traffic for .

+ + + +

Unusual or unauthorized activities or conditions related to system inbound and outbound communications traffic includes internal traffic that indicates the presence of malicious code or unauthorized use of legitimate code or credentials within organizational systems or propagating among system components, signaling to external systems, and the unauthorized exporting of information. Evidence of malicious code or unauthorized use of legitimate code or credentials is used to identify potentially compromised systems or system components.

+ + + + + + + +

criteria for unusual or unauthorized activities or conditions for inbound communications traffic are defined;

+ + + + +

criteria for unusual or unauthorized activities or conditions for outbound communications traffic are defined;

+ + + + + + + + +

inbound communications traffic is monitored for ;

+ + + + +

outbound communications traffic is monitored for .

+ + + + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system protocols

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing the monitoring of inbound and outbound communications traffic

+ + + + + System-generated Alerts + + + + + +

personnel or roles to be alerted when indications of compromise or potential compromise occur is/are defined;

+ + + + + + + +

compromise indicators are defined;

+ + + + + + + + + + + + + +

Alert when the following system-generated indications of compromise or potential compromise occur: .

+ + +

Alerts may be generated from a variety of sources, including audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated and may be transmitted telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include system administrators, mission or business owners, system owners, information owners/stewards, senior agency information security officers, senior agency officials for privacy, system security officers, or privacy officers. In contrast to alerts generated by the system, alerts generated by organizations in SI-4(12) focus on information sources external to the system, such as suspicious activity reports and reports on potential insider threats.

+ + + +

are alerted when system-generated occur.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

list of personnel selected to receive alerts

+

documentation of alerts generated based on compromise indicators

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developers

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel on the system alert notification list

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing alerts for compromise indicators

+ + + + + Restrict Non-privileged Users + + + + + + + + + Automated Response to Suspicious Events + + + + + + +

incident response personnel (identified by name and/or by role) to be notified of detected suspicious events is/are defined;

+ + + + + + + + +

least-disruptive actions to terminate suspicious events are defined;

+ + + + + + + + + + + + +

Notify of detected suspicious events; and

+ + + +

Take the following actions upon detection: .

+ + + +

Least-disruptive actions include initiating requests for human responses.

+ + + + + +

are notified of detected suspicious events;

+ + + + +

are taken upon the detection of suspicious events.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

alerts and notifications generated based on detected suspicious events

+

records of actions taken to terminate suspicious events

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developers

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing notifications to incident response personnel

+

mechanisms supporting and/or implementing actions to terminate suspicious events

+ + + + + Protection of Monitoring Information + + + + + + + + + Testing of Monitoring Tools and Mechanisms + + + + + +

a frequency at which to test intrusion-monitoring tools and mechanisms is defined;

+ + + + + + + + + + +

Test intrusion-monitoring tools and mechanisms .

+ + +

Testing intrusion-monitoring tools and mechanisms is necessary to ensure that the tools and mechanisms are operating correctly and continue to satisfy the monitoring objectives of organizations. The frequency and depth of testing depends on the types of tools and mechanisms used by organizations and the methods of deployment.

+ + + +

intrusion-monitoring tools and mechanisms are tested .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing the testing of system monitoring tools and techniques

+

documentation providing evidence of testing intrusion-monitoring tools

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing the testing of intrusion-monitoring tools

+ + + + + Visibility of Encrypted Communications + + + + + +

encrypted communications traffic to be made visible to system monitoring tools and mechanisms is defined;

+ + + + + + + +

system monitoring tools and mechanisms to be provided access to encrypted communications traffic are defined;

+ + + + + + + + + + +

Make provisions so that is visible to .

+ + +

Organizations balance the need to encrypt communications traffic to protect data confidentiality with the need to maintain visibility into such traffic from a monitoring perspective. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.

+ + + +

provisions are made so that is visible to .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system protocols

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing the visibility of encrypted communications traffic to monitoring tools

+ + + + + Analyze Communications Traffic Anomalies + + + + + + +

interior points within the system where communications traffic is to be analyzed are defined;

+ + + + + + + + + + + +

Analyze outbound communications traffic at the external interfaces to the system and selected to discover anomalies.

+ + +

Organization-defined interior points include subnetworks and subsystems. Anomalies within organizational systems include large file transfers, long-time persistent connections, attempts to access information from unexpected locations, the use of unusual protocols and ports, the use of unmonitored network protocols (e.g., IPv6 usage during IPv4 transition), and attempted communications with suspected malicious external addresses.

+ + + + + +

outbound communications traffic at the external interfaces to the system is analyzed to discover anomalies;

+ + + + +

outbound communications traffic at is analyzed to discover anomalies.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

network diagram

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system monitoring logs or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing the analysis of communications traffic

+ + + + + Automated Organization-generated Alerts + + + + + +

personnel or roles to be alerted when indications of inappropriate or unusual activity with security or privacy implications occur is/are defined;

+ + + + + + + +

automated mechanisms used to alert personnel or roles are defined;

+ + + + + + + +

activities that trigger alerts to personnel or are defined;

+ + + + + + + + + + + +

Alert using when the following indications of inappropriate or unusual activities with security or privacy implications occur: .

+ + +

Organizational personnel on the system alert notification list include system administrators, mission or business owners, system owners, senior agency information security officer, senior agency official for privacy, system security officers, or privacy officers. Automated organization-generated alerts are the security alerts generated by organizations and transmitted using automated means. The sources for organization-generated alerts are focused on other entities such as suspicious activity reports and reports on potential insider threats. In contrast to alerts generated by the organization, alerts generated by the system in SI-4(5) focus on information sources that are internal to the systems, such as audit records.

+ + + +

is/are alerted using when indicate inappropriate or unusual activities with security or privacy implications.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

list of inappropriate or unusual activities with security and privacy implications that trigger alerts

+

suspicious activity reports

+

alerts provided to security and privacy personnel

+

system monitoring logs or records

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developers

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

automated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

automated mechanisms supporting and/or implementing automated alerts to security personnel

+ + + + + Analyze Traffic and Event Patterns + + + + + + + + + + + +

Analyze communications traffic and event patterns for the system;

+ + + +

Develop profiles representing common traffic and event patterns; and

+ + + +

Use the traffic and event profiles in tuning system-monitoring devices.

+ + + +

Identifying and understanding common communications traffic and event patterns help organizations provide useful information to system monitoring devices to more effectively identify suspicious or anomalous traffic and events when they occur. Such information can help reduce the number of false positives and false negatives during system monitoring.

+ + + + + + + +

communications traffic for the system is analyzed;

+ + + + +

event patterns for the system are analyzed;

+ + + + + + + + +

profiles representing common traffic are developed;

+ + + + +

profiles representing event patterns are developed;

+ + + + + + + + +

traffic profiles are used in tuning system-monitoring devices;

+ + + + +

event profiles are used in tuning system-monitoring devices.

+ + + + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

list of profiles representing common traffic patterns and/or events

+

system protocols documentation

+

list of acceptable thresholds for false positives and false negatives

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing the analysis of communications traffic and event patterns

+ + + + + Wireless Intrusion Detection + + + + + + + + + + +

Employ a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises or breaches to the system.

+ + +

Wireless signals may radiate beyond organizational facilities. Organizations proactively search for unauthorized wireless connections, including the conduct of thorough scans for unauthorized wireless access points. Wireless scans are not limited to those areas within facilities containing systems but also include areas outside of facilities to verify that unauthorized wireless access points are not connected to organizational systems.

+ + + + + +

a wireless intrusion detection system is employed to identify rogue wireless devices;

+ + + + +

a wireless intrusion detection system is employed to detect attack attempts on the system;

+ + + + +

a wireless intrusion detection system is employed to detect potential compromises or breaches to the system.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system protocols

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection

+

mechanisms supporting and/or implementing a wireless intrusion detection capability

+ + + + + Wireless to Wireline Communications + + + + + + + + + +

Employ an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.

+ + +

Wireless networks are inherently less secure than wired networks. For example, wireless networks are more susceptible to eavesdroppers or traffic analysis than wireline networks. When wireless to wireline communications exist, the wireless network could become a port of entry into the wired network. Given the greater facility of unauthorized network access via wireless access points compared to unauthorized wired network access from within the physical boundaries of the system, additional monitoring of transitioning traffic between wireless and wired networks may be necessary to detect malicious activities. Employing intrusion detection systems to monitor wireless communications traffic helps to ensure that the traffic does not contain malicious code prior to transitioning to the wireline network.

+ + + +

an intrusion detection system is employed to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system protocols documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing a wireless intrusion detection capability

+ + + + + Correlate Monitoring Information + + + + + + + + + + +

Correlate information from monitoring tools and mechanisms employed throughout the system.

+ + +

Correlating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation—including malicious code protection software, host monitoring, and network monitoring—can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding the capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the use of information generated by those tools and mechanisms can help organizations develop, operate, and maintain effective monitoring programs. The correlation of monitoring information is especially important during the transition from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols).

+ + + +

information from monitoring tools and mechanisms employed throughout the system is correlated.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

event correlation logs or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing the correlation of information from monitoring tools

+ + + + + Integrated Situational Awareness + + + + + + + + + + + + + +

Correlate information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.

+ + +

Correlating monitoring information from a more diverse set of information sources helps to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4(16) , which correlates the various cyber monitoring information, integrated situational awareness is intended to correlate monitoring beyond the cyber domain. Correlation of monitoring information from multiple activities may help reveal attacks on organizations that are operating across multiple attack vectors.

+ + + +

information from monitoring physical, cyber, and supply chain activities are correlated to achieve integrated, organization-wide situational awareness.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

event correlation logs or records resulting from physical, cyber, and supply chain activities

+

system audit records

+

system security plan

+

supply chain risk management plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing the correlation of information from monitoring tools

+ + + + + Analyze Traffic and Covert Exfiltration + + + + + + +

interior points within the system where communications traffic is to be analyzed are defined;

+ + + + + + + + + + + +

Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: .

+ + +

Organization-defined interior points include subnetworks and subsystems. Covert means that can be used to exfiltrate information include steganography.

+ + + + + +

outbound communications traffic is analyzed at interfaces external to the system to detect covert exfiltration of information;

+ + + + +

outbound communications traffic is analyzed at to detect covert exfiltration of information.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

network diagram

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system monitoring logs or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

organizational personnel responsible for the intrusion detection system

+ + + + + + +

Organizational processes for intrusion detection and system monitoring

+

mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities

+

mechanisms supporting and/or implementing an analysis of outbound communications traffic

+ + + + + Risk for Individuals + + + + + +

additional monitoring of individuals who have been identified as posing an increased level of risk is defined;

+ + + + + + + +

sources that identify individuals who pose an increased level of risk are defined;

+ + + + + + + + + + +

Implement of individuals who have been identified by as posing an increased level of risk.

+ + +

Indications of increased risk from individuals can be obtained from different sources, including personnel records, intelligence agencies, law enforcement organizations, and other sources. The monitoring of individuals is coordinated with the management, legal, security, privacy, and human resource officials who conduct such monitoring. Monitoring is conducted in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

+ + + +

is implemented on individuals who have been identified by as posing an increased level of risk.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+

legal counsel

+

human resource officials

+

organizational personnel with personnel security responsibilities

+ + + + + + +

Organizational processes for system monitoring

+

mechanisms supporting and/or implementing a system monitoring capability

+ + + + + Privileged Users + + + + + +

additional monitoring of privileged users is defined;

+ + + + + + + + + + + +

Implement the following additional monitoring of privileged users: .

+ + +

Privileged users have access to more sensitive information, including security-related information, than the general user population. Access to such information means that privileged users can potentially do greater damage to systems and organizations than non-privileged users. Therefore, implementing additional monitoring on privileged users helps to ensure that organizations can identify malicious activity at the earliest possible time and take appropriate actions.

+ + + +

of privileged users is implemented.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system monitoring logs or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+ + + + + + +

Organizational processes for system monitoring

+

mechanisms supporting and/or implementing a system monitoring capability

+ + + + + Probationary Periods + + + + + +

additional monitoring to be implemented on individuals during probationary periods is defined;

+ + + + + + + +

the probationary period of individuals is defined;

+ + + + + + + + + + + +

Implement the following additional monitoring of individuals during : .

+ + +

During probationary periods, employees do not have permanent employment status within organizations. Without such status or access to information that is resident on the system, additional monitoring can help identify any potentially malicious activity or inappropriate behavior.

+ + + +

of individuals is implemented during .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system monitoring logs or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+ + + + + + +

Organizational processes for system monitoring

+

mechanisms supporting and/or implementing a system monitoring capability

+ + + + + Unauthorized Network Services + + + + + +

authorization or approval processes for network services are defined;

+ + + + + + + + + + + + +

personnel or roles to be alerted upon the detection of network services that have not been authorized or approved by authorization or approval processes is/are defined (if selected);

+ + + + + + + + + + + + + +

Detect network services that have not been authorized or approved by ; and

+ + + +

when detected.

+ + + +

Unauthorized or unapproved network services include services in service-oriented architectures that lack organizational verification or validation and may therefore be unreliable or serve as malicious rogues for valid services.

+ + + + + +

network services that have not been authorized or approved by are detected;

+ + + + +

is/are initiated when network services that have not been authorized or approved by authorization or approval processes are detected.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

documented authorization/approval of network services

+

notifications or alerts of unauthorized network services

+

system monitoring logs or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring the system

+ + + + + + +

Organizational processes for system monitoring

+

mechanisms supporting and/or implementing a system monitoring capability

+

mechanisms for auditing network services

+

mechanisms for providing alerts

+ + + + + Host-based Devices + + + + + +

host-based monitoring mechanisms to be implemented on system components are defined;

+ + + + + + + +

system components where host-based monitoring is to be implemented are defined;

+ + + + + + + + + + + + +

Implement the following host-based monitoring mechanisms at : .

+ + +

Host-based monitoring collects information about the host (or system in which it resides). System components in which host-based monitoring can be implemented include servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors.

+ + + +

are implemented on .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring tools and techniques

+

system design documentation

+

host-based monitoring mechanisms

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

list of system components requiring host-based monitoring

+

system monitoring logs or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring system hosts

+ + + + + + +

Organizational processes for system monitoring

+

mechanisms supporting and/or implementing a host-based monitoring capability

+ + + + + Indicators of Compromise + + + + + +

sources that provide indicators of compromise are defined;

+ + + + + + + +

personnel or roles to whom indicators of compromise are to be distributed is/are defined;

+ + + + + + + + + + + +

Discover, collect, and distribute to , indicators of compromise provided by .

+ + +

Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational systems at the host or network level. IOCs provide valuable information on systems that have been compromised. IOCs can include the creation of registry key values. IOCs for network traffic include Universal Resource Locator or protocol elements that indicate malicious code command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that systems and organizations are vulnerable to the same exploit or attack. Threat indicators, signatures, tactics, techniques, procedures, and other indicators of compromise may be available via government and non-government cooperatives, including the Forum of Incident Response and Security Teams, the United States Computer Emergency Readiness Team, the Defense Industrial Base Cybersecurity Information Sharing Program, and the CERT Coordination Center.

+ + + + + +

indicators of compromise provided by are discovered;

+ + + + +

indicators of compromise provided by are collected;

+ + + + +

indicators of compromise provided by are distributed to .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system monitoring logs or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring system hosts

+ + + + + + +

Organizational processes for system monitoring

+

organizational processes for the discovery, collection, distribution, and use of indicators of compromise

+

mechanisms supporting and/or implementing a system monitoring capability

+

mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise

+ + + + + Optimize Network Traffic Analysis + + + + + + + + +

Provide visibility into network traffic at external and key internal system interfaces to optimize the effectiveness of monitoring devices.

+ + +

Encrypted traffic, asymmetric routing architectures, capacity and latency limitations, and transitioning from older to newer technologies (e.g., IPv4 to IPv6 network protocol transition) may result in blind spots for organizations when analyzing network traffic. Collecting, decrypting, pre-processing, and distributing only relevant traffic to monitoring devices can streamline the efficiency and use of devices and optimize traffic analysis.

+ + + + + +

visibility into network traffic at external system interfaces is provided to optimize the effectiveness of monitoring devices;

+ + + + +

visibility into network traffic at key internal system interfaces is provided to optimize the effectiveness of monitoring devices.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system monitoring

+

system design documentation

+

system monitoring tools and techniques documentation

+

system configuration settings and associated documentation

+

system monitoring logs or records

+

system architecture

+

system audit records

+

network traffic reports

+

system security plan

+

other relevant documents or records

+ + + + + + +

System/network administrators

+

organizational personnel with information security responsibilities

+

system developer

+

organizational personnel installing, configuring, and/or maintaining the system

+

organizational personnel responsible for monitoring system hosts

+ + + + + + +

Organizational processes for system monitoring

+

organizational processes for the discovery, collection, distribution, and use of indicators of compromise

+

mechanisms supporting and/or implementing a system monitoring capability

+

mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise

+ + + + + + Security Alerts, Advisories, and Directives + + + + + +

external organizations from whom system security alerts, advisories, and directives are to be received on an ongoing basis are defined;

+ + + + + + + + + + + + +

personnel or roles to whom security alerts, advisories, and directives are to be disseminated is/are defined (if selected);

+ + + + + + + + +

elements within the organization to whom security alerts, advisories, and directives are to be disseminated are defined (if selected);

+ + + + + + + +

external organizations to whom security alerts, advisories, and directives are to be disseminated are defined (if selected);

+ + + + + + + + + + + + + + + +

Receive system security alerts, advisories, and directives from on an ongoing basis;

+ + + +

Generate internal security alerts, advisories, and directives as deemed necessary;

+ + + +

Disseminate security alerts, advisories, and directives to: ; and

+ + + +

Implement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance.

+ + + +

The Cybersecurity and Infrastructure Security Agency (CISA) generates security alerts and advisories to maintain situational awareness throughout the Federal Government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance with security directives is essential due to the critical nature of many of these directives and the potential (immediate) adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include supply chain partners, external mission or business partners, external service providers, and other peer or supporting organizations.

+ + + + + +

system security alerts, advisories, and directives are received from on an ongoing basis;

+ + + + +

internal security alerts, advisories, and directives are generated as deemed necessary;

+ + + + +

security alerts, advisories, and directives are disseminated to ;

+ + + + +

security directives are implemented in accordance with established time frames or if the issuing organization is notified of the degree of noncompliance.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing security alerts, advisories, and directives

+

records of security alerts and advisories

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security alert and advisory responsibilities

+

organizational personnel implementing, operating, maintaining, and using the system

+

organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives

+

mechanisms supporting and/or implementing the definition, receipt, generation, and dissemination of security alerts, advisories, and directives

+

mechanisms supporting and/or implementing security directives

+ + + + Automated Alerts and Advisories + + + + + +

automated mechanisms used to broadcast security alert and advisory information throughout the organization are defined;

+ + + + + + + + + + +

Broadcast security alert and advisory information throughout the organization using .

+ + +

The significant number of changes to organizational systems and environments of operation requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational mission and business functions. Based on information provided by security alerts and advisories, changes may be required at one or more of the three levels related to the management of risk, including the governance level, mission and business process level, and the information system level.

+ + + +

are used to broadcast security alert and advisory information throughout the organization.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing security alerts, advisories, and directives

+

system design documentation

+

system configuration settings and associated documentation

+

automated mechanisms supporting the distribution of security alert and advisory information

+

records of security alerts and advisories

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security alert and advisory responsibilities

+

organizational personnel implementing, operating, maintaining, and using the system

+

organizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated

+

system/network administrators

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for defining, receiving, generating, and disseminating security alerts and advisories

+

automated mechanisms supporting and/or implementing the dissemination of security alerts and advisories

+ + + + + + Security and Privacy Function Verification + + + + + + + + + +

security functions to be verified for correct operation are defined;

+ + + + + + +

privacy functions to be verified for correct operation are defined;

+ + + + + + + + + + + + +

system transitional states requiring the verification of security and privacy functions are defined; (if selected)

+ + + + + + + +

frequency at which to verify the correct operation of security and privacy functions is defined; (if selected)

+ + + + + + + +

personnel or roles to be alerted of failed security and privacy verification tests is/are defined;

+ + + + + + + + + + + + +

alternative action(s) to be performed when anomalies are discovered are defined (if selected);

+ + + + + + + + + + + + + + + + +

Verify the correct operation of ;

+ + + +

Perform the verification of the functions specified in SI-6a ;

+ + + +

Alert to failed security and privacy verification tests; and

+ + + +

when anomalies are discovered.

+ + + +

Transitional states for systems include system startup, restart, shutdown, and abort. System notifications include hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the senior agency official for privacy or that privacy attributes are applied or used as expected.

+ + + + + + + +

are verified to be operating correctly;

+ + + + +

are verified to be operating correctly;

+ + + + + + + + +

are verified ;

+ + + + +

are verified ;

+ + + + + + + + +

is/are alerted to failed security verification tests;

+ + + + +

is/are alerted to failed privacy verification tests;

+ + + + + + +

is/are initiated when anomalies are discovered.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing security and privacy function verification

+

system design documentation

+

system configuration settings and associated documentation

+

alerts/notifications of failed security verification tests

+

list of system transition states requiring security functionality verification

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and privacy function verification responsibilities

+

organizational personnel implementing, operating, and maintaining the system

+

system/network administrators

+

organizational personnel with information security and privacy responsibilities

+

system developer

+ + + + + + +

Organizational processes for security and privacy function verification

+

mechanisms supporting and/or implementing the security and privacy function verification capability

+ + + + Notification of Failed Security Tests + + + + + + + + + Automation Support for Distributed Testing + + + + + + + + +

Implement automated mechanisms to support the management of distributed security and privacy function testing.

+ + +

The use of automated mechanisms to support the management of distributed function testing helps to ensure the integrity, timeliness, completeness, and efficacy of such testing.

+ + + + + +

automated mechanisms are implemented to support the management of distributed security function testing;

+ + + + +

automated mechanisms are implemented to support the management of distributed privacy function testing.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing security and privacy function verification

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and privacy function verification responsibilities

+

organizational personnel implementing, operating, and maintaining the system

+

system/network administrators

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for security and privacy function verification

+

automated mechanisms supporting and/or implementing the management of distributed security and privacy testing

+ + + + + Report Verification Results + + + + + +

personnel or roles designated to receive the results of security and privacy function verification is/are defined;

+ + + + + + + + + + + + +

Report the results of security and privacy function verification to .

+ + +

Organizational personnel with potential interest in the results of the verification of security and privacy functions include systems security officers, senior agency information security officers, and senior agency officials for privacy.

+ + + + + +

the results of security function verification are reported to ;

+ + + + +

the results of privacy function verification are reported to .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing security and privacy function verification

+

system design documentation

+

system configuration settings and associated documentation

+

reports of security and privacy function verification results

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with security and privacy function verification responsibilities

+

organizational personnel who are recipients of security and privacy function verification reports

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for reporting security and privacy function verification results

+

mechanisms supporting and/or implementing the reporting of security and privacy function verification results

+ + + + + + Software, Firmware, and Information Integrity + + + + + + + + + + + + + + + + +

software requiring integrity verification tools to be employed to detect unauthorized changes is defined;

+ + + + + + +

firmware requiring integrity verification tools to be employed to detect unauthorized changes is defined;

+ + + + + + +

information requiring integrity verification tools to be employed to detect unauthorized changes is defined;

+ + + + + + +

actions to be taken when unauthorized changes to software are detected are defined;

+ + + + + + +

actions to be taken when unauthorized changes to firmware are detected are defined;

+ + + + + + +

actions to be taken when unauthorized changes to information are detected are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: ; and

+ + + +

Take the following actions when unauthorized changes to the software, firmware, and information are detected: .

+ + + +

Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes operating systems (with key internal components, such as kernels or drivers), middleware, and applications. Firmware interfaces include Unified Extensible Firmware Interface (UEFI) and Basic Input/Output System (BIOS). Information includes personally identifiable information and metadata that contains security and privacy attributes associated with information. Integrity-checking mechanisms—including parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools—can automatically monitor the integrity of systems and hosted applications.

+ + + + + + + +

integrity verification tools are employed to detect unauthorized changes to ;

+ + + + +

integrity verification tools are employed to detect unauthorized changes to ;

+ + + + +

integrity verification tools are employed to detect unauthorized changes to ;

+ + + + + + + + +

are taken when unauthorized changes to the software, are detected;

+ + + + +

are taken when unauthorized changes to the firmware are detected;

+ + + + +

are taken when unauthorized changes to the information are detected.

+ + + + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

personally identifiable information processing policy

+

system design documentation

+

system configuration settings and associated documentation

+

integrity verification tools and associated documentation

+

records generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security and privacy responsibilities

+

system/network administrators

+ + + + + + +

Software, firmware, and information integrity verification tools

+ + + + Integrity Checks + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

software on which an integrity check is to be performed is defined;

+ + + + + + + + + + +

transitional states or security-relevant events requiring integrity checks (on software) are defined (if selected);

+ + + + + + +

frequency with which to perform an integrity check (on software) is defined (if selected);

+ + + + + + +

firmware on which an integrity check is to be performed is defined;

+ + + + + + + + + + +

transitional states or security-relevant events requiring integrity checks (on firmware) are defined (if selected);

+ + + + + + +

frequency with which to perform an integrity check (on firmware) is defined (if selected);

+ + + + + + +

information on which an integrity check is to be performed is defined;

+ + + + + + + + + + +

transitional states or security-relevant events requiring integrity checks (of information) are defined (if selected);

+ + + + + + +

frequency with which to perform an integrity check (of information) is defined (if selected);

+ + + + + + + + + + +

Perform an integrity check of .

+ + +

Security-relevant events include the identification of new threats to which organizational systems are susceptible and the installation of new hardware, software, or firmware. Transitional states include system startup, restart, shutdown, and abort.

+ + + + + +

an integrity check of is performed ;

+ + + + +

an integrity check of is performed ;

+ + + + +

an integrity check of is performed .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity testing

+

system design documentation

+

system configuration settings and associated documentation

+

integrity verification tools and associated documentation

+

records of integrity scans

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Software, firmware, and information integrity verification tools

+ + + + + Automated Notifications of Integrity Violations + + + + + +

personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification is/are defined;

+ + + + + + + + + + +

Employ automated tools that provide notification to upon discovering discrepancies during integrity verification.

+ + +

The employment of automated tools to report system and information integrity violations and to notify organizational personnel in a timely matter is essential to effective risk response. Personnel with an interest in system and information integrity violations include mission and business owners, system owners, senior agency information security official, senior agency official for privacy, system administrators, software developers, systems integrators, information security officers, and privacy officers.

+ + + +

automated tools that provide notification to upon discovering discrepancies during integrity verification are employed.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

personally identifiable information processing policy

+

system design documentation

+

system configuration settings and associated documentation

+

integrity verification tools and associated documentation

+

records of integrity scans

+

automated tools supporting alerts and notifications for integrity discrepancies

+

notifications provided upon discovering discrepancies during integrity verifications

+

system audit records

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security and privacy responsibilities

+

system administrators

+

software developers

+ + + + + + +

Software, firmware, and information integrity verification tools

+

mechanisms providing integrity discrepancy notifications

+ + + + + Centrally Managed Integrity Tools + + + + + + + + + + + +

Employ centrally managed integrity verification tools.

+ + +

Centrally managed integrity verification tools provides greater consistency in the application of such tools and can facilitate more comprehensive coverage of integrity verification actions.

+ + + +

centrally managed integrity verification tools are employed.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

integrity verification tools and associated documentation

+

records of integrity scans

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for the central management of integrity verification tools

+

organizational personnel with information security responsibilities

+ + + + + + +

Mechanisms supporting and/or implementing the central management of integrity verification tools

+ + + + + Tamper-evident Packaging + + + + + + + + + Automated Response to Integrity Violations + + + + + + + + + + +

controls to be implemented automatically when integrity violations are discovered are defined (if selected);

+ + + + + + + + + + +

Automatically when integrity violations are discovered.

+ + +

Organizations may define different integrity-checking responses by type of information, specific information, or a combination of both. Types of information include firmware, software, and user data. Specific information includes boot firmware for certain types of machines. The automatic implementation of controls within organizational systems includes reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur.

+ + + +

are automatically performed when integrity violations are discovered.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

integrity verification tools and associated documentation

+

records of integrity scans

+

records of integrity checks and responses to integrity violations

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Software, firmware, and information integrity verification tools

+

mechanisms providing an automated response to integrity violations

+

mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered

+ + + + + Cryptographic Protection + + + + + + + + + + +

Implement cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.

+ + +

Cryptographic mechanisms used to protect integrity include digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information. Organizations that employ cryptographic mechanisms also consider cryptographic key management solutions.

+ + + + + +

cryptographic mechanisms are implemented to detect unauthorized changes to software;

+ + + + +

cryptographic mechanisms are implemented to detect unauthorized changes to firmware;

+ + + + +

cryptographic mechanisms are implemented to detect unauthorized changes to information.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

cryptographic mechanisms and associated documentation

+

records of detected unauthorized changes to software, firmware, and information

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Software, firmware, and information integrity verification tools

+

cryptographic mechanisms implementing software, firmware, and information integrity

+ + + + + Integration of Detection and Response + + + + + + +

security-relevant changes to the system are defined;

+ + + + + + + + + + + + + + + +

Incorporate the detection of the following unauthorized changes into the organizational incident response capability: .

+ + +

Integrating detection and response helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important for being able to identify and discern adversary actions over an extended time period and for possible legal actions. Security-relevant changes include unauthorized changes to established configuration settings or the unauthorized elevation of system privileges.

+ + + +

the detection of are incorporated into the organizational incident response capability.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

procedures addressing incident response

+

system design documentation

+

system configuration settings and associated documentation

+

incident response records

+

audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+

organizational personnel with incident response responsibilities

+ + + + + + +

Organizational processes for incorporating the detection of unauthorized security-relevant changes into the incident response capability

+

software, firmware, and information integrity verification tools

+

mechanisms supporting and/or implementing the incorporation of detection of unauthorized security-relevant changes into the incident response capability

+ + + + + Auditing Capability for Significant Events + + + + + + + + + + +

personnel or roles to be alerted upon the detection of a potential integrity violation is/are defined (if selected);

+ + + + + + + +

other actions to be taken upon the detection of a potential integrity violation are defined (if selected);

+ + + + + + + + + + + + + +

Upon detection of a potential integrity violation, provide the capability to audit the event and initiate the following actions: .

+ + +

Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.

+ + + + + +

the capability to audit an event upon the detection of a potential integrity violation is provided;

+ + + + +

is/are initiated upon the detection of a potential integrity violation.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

integrity verification tools and associated documentation

+

records of integrity scans

+

incident response records

+

list of security-relevant changes to the system

+

automated tools supporting alerts and notifications if unauthorized security changes are detected

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Software, firmware, and information integrity verification tools

+

mechanisms supporting and/or implementing the capability to audit potential integrity violations

+

mechanisms supporting and/or implementing alerts about potential integrity violations

+ + + + + Verify Boot Process + + + + + +

system components requiring integrity verification of the boot process are defined;

+ + + + + + + + + + + +

Verify the integrity of the boot process of the following system components: .

+ + +

Ensuring the integrity of boot processes is critical to starting system components in known, trustworthy states. Integrity verification mechanisms provide a level of assurance that only trusted code is executed during boot processes.

+ + + +

the integrity of the boot process of is verified.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

integrity verification tools and associated documentation

+

documentation

+

records of integrity verification scans

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+

system developer

+ + + + + + +

Software, firmware, and information integrity verification tools

+

mechanisms supporting and/or implementing integrity verification of the boot process

+ + + + + Protection of Boot Firmware + + + + + +

mechanisms to be implemented to protect the integrity of boot firmware in system components are defined;

+ + + + + + + +

system components requiring mechanisms to protect the integrity of boot firmware are defined;

+ + + + + + + + + + + +

Implement the following mechanisms to protect the integrity of boot firmware in : .

+ + +

Unauthorized modifications to boot firmware may indicate a sophisticated, targeted attack. These types of targeted attacks can result in a permanent denial of service or a persistent malicious code presence. These situations can occur if the firmware is corrupted or if the malicious code is embedded within the firmware. System components can protect the integrity of boot firmware in organizational systems by verifying the integrity and authenticity of all updates to the firmware prior to applying changes to the system component and preventing unauthorized processes from modifying the boot firmware.

+ + + +

are implemented to protect the integrity of boot firmware in .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

integrity verification tools and associated documentation

+

records of integrity verification scans

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Software, firmware, and information integrity verification tools

+

mechanisms supporting and/or implementing protection of the integrity of boot firmware

+

safeguards implementing protection of the integrity of boot firmware

+ + + + + Confined Environments with Limited Privileges + + + + + + + + + Integrity Verification + + + + + +

user-installed software requiring integrity verification prior to execution is defined;

+ + + + + + + + + + + + +

Require that the integrity of the following user-installed software be verified prior to execution: .

+ + +

Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or programs that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity, including the availability of trustworthy checksums from software developers and vendors.

+ + + +

the integrity of is verified prior to execution.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

integrity verification records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+ + + + + + +

Software, firmware, and information integrity verification tools

+

mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution

+ + + + + Code Execution in Protected Environments + + + + + + + + + Binary or Machine Executable Code + + + + + + + + + Code Authentication + + + + + +

software or firmware components to be authenticated by cryptographic mechanisms prior to installation are defined;

+ + + + + + + + + + + + + +

Implement cryptographic mechanisms to authenticate the following software or firmware components prior to installation: .

+ + +

Cryptographic authentication includes verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code. Organizations that employ cryptographic mechanisms also consider cryptographic key management solutions.

+ + + +

cryptographic mechanisms are implemented to authenticate prior to installation.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software, firmware, and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

cryptographic mechanisms and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Cryptographic mechanisms authenticating software and firmware prior to installation

+ + + + + Time Limit on Process Execution Without Supervision + + + + + +

the maximum time period permitted for processes to execute without supervision is defined;

+ + + + + + + + + + +

Prohibit processes from executing without supervision for more than .

+ + +

Placing a time limit on process execution without supervision is intended to apply to processes for which typical or normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes timers on operating systems, automated responses, and manual oversight and response when system process anomalies occur.

+ + + +

processes are prohibited from executing without supervision for more than .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Software, firmware, and information integrity verification tools

+

mechanisms supporting and/or implementing time limits on process execution without supervision

+ + + + + Runtime Application Self-protection + + + + + +

controls to be implemented for application self-protection at runtime are defined;

+ + + + + + + + + + + + +

Implement for application self-protection at runtime.

+ + +

Runtime application self-protection employs runtime instrumentation to detect and block the exploitation of software vulnerabilities by taking advantage of information from the software in execution. Runtime exploit prevention differs from traditional perimeter-based protections such as guards and firewalls which can only detect and block attacks by using network information without contextual awareness. Runtime application self-protection technology can reduce the susceptibility of software to attacks by monitoring its inputs and blocking those inputs that could allow attacks. It can also help protect the runtime environment from unwanted changes and tampering. When a threat is detected, runtime application self-protection technology can prevent exploitation and take other actions (e.g., sending a warning message to the user, terminating the user's session, terminating the application, or sending an alert to organizational personnel). Runtime application self-protection solutions can be deployed in either a monitor or protection mode.

+ + + +

are implemented for application self-protection at runtime.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing software and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

list of known vulnerabilities addressed by runtime instrumentation

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for software, firmware, and/or information integrity

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Software, firmware, and information integrity verification tools

+

mechanisms supporting and/or implementing runtime application self-protection

+ + + + + + Spam Protection + + + + + + + + + + + + + + + + +

Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and

+ + + +

Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.

+ + + +

System entry and exit points include firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means, including email, email attachments, and web accesses. Spam protection mechanisms include signature definitions.

+ + + + + + + +

spam protection mechanisms are employed at system entry points to detect unsolicited messages;

+ + + + +

spam protection mechanisms are employed at system exit points to detect unsolicited messages;

+ + + + +

spam protection mechanisms are employed at system entry points to act on unsolicited messages;

+ + + + +

spam protection mechanisms are employed at system exit points to act on unsolicited messages;

+ + + + + + +

spam protection mechanisms are updated when new releases are available in accordance with organizational configuration management policies and procedures.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

configuration management policies and procedures (CM-01)

+

procedures addressing spam protection

+

spam protection mechanisms

+

records of spam protection updates

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for spam protection

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Organizational processes for implementing spam protection

+

mechanisms supporting and/or implementing spam protection

+ + + + Central Management + + + + + + + + + Automatic Updates + + + + + +

the frequency at which to automatically update spam protection mechanisms is defined;

+ + + + + + + + + +

Automatically update spam protection mechanisms .

+ + +

Using automated mechanisms to update spam protection mechanisms helps to ensure that updates occur on a regular basis and provide the latest content and protection capabilities.

+ + + +

spam protection mechanisms are automatically updated .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing spam protection

+

spam protection mechanisms

+

records of spam protection updates

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for spam protection

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Organizational processes for spam protection

+

mechanisms supporting and/or implementing automatic updates to spam protection mechanisms

+ + + + + Continuous Learning Capability + + + + + + + +

Implement spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.

+ + +

Learning mechanisms include Bayesian filters that respond to user inputs that identify specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.

+ + + +

spam protection mechanisms with a learning capability are implemented to more effectively identify legitimate communications traffic.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing spam protection

+

spam protection mechanisms

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for spam protection

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Organizational processes for spam protection

+

mechanisms supporting and/or implementing spam protection mechanisms with a learning capability

+ + + + + + Information Input Restrictions + + + + + + + + + + + + Information Input Validation + + + + + + + +

information inputs to the system requiring validity checks are defined;

+ + + + + + + + + + +

Check the validity of the following information inputs: .

+ + +

Checking the valid syntax and semantics of system inputs—including character set, length, numerical range, and acceptable values—verifies that inputs match specified definitions for format and content. For example, if the organization specifies that numerical values between 1-100 are the only acceptable inputs for a field in a given application, inputs of 387, abc, or %K% are invalid inputs and are not accepted as input to the system. Valid inputs are likely to vary from field to field within a software application. Applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing them to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevents attacks such as cross-site scripting and a variety of injection attacks.

+ + + +

the validity of the is checked.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

access control policy and procedures

+

separation of duties policy and procedures

+

procedures addressing information input validation

+

documentation for automated tools and applications to verify the validity of information

+

list of information inputs requiring validity checks

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for information input validation

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Mechanisms supporting and/or implementing validity checks on information inputs

+ + + + Manual Override Capability + + + + + +

authorized individuals who can use the manual override capability are defined;

+ + + + + + + + + + + + + + + + +

Provide a manual override capability for input validation of the following information inputs: ;

+ + + +

Restrict the use of the manual override capability to only ; and

+ + + +

Audit the use of the manual override capability.

+ + + +

In certain situations, such as during events that are defined in contingency plans, a manual override capability for input validation may be needed. Manual overrides are used only in limited circumstances and with the inputs defined by the organization.

+ + + + + +

a manual override capability for the validation of is provided;

+ + + + +

the use of the manual override capability is restricted to only ;

+ + + + +

the use of the manual override capability is audited.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

access control policy and procedures

+

separation of duties policy and procedures

+

procedures addressing information input validation

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for information input validation

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Organizational processes for the use of a manual override capability

+

mechanisms supporting and/or implementing a manual override capability for input validation

+

mechanisms supporting and/or implementing auditing of the use of a manual override capability

+ + + + + Review and Resolve Errors + + + + + + + + + +

the time period within which input validation errors are to be reviewed is defined;

+ + + + + + +

the time period within which input validation errors are to be resolved is defined;

+ + + + + + + + + + +

Review and resolve input validation errors within .

+ + +

Resolution of input validation errors includes correcting systemic causes of errors and resubmitting transactions with corrected input. Input validation errors are those related to the information inputs defined by the organization in the base control ( SI-10).

+ + + + + +

input validation errors are reviewed within ;

+ + + + +

input validation errors are resolved within .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing information input validation

+

system design documentation

+

system configuration settings and associated documentation

+

review records of information input validation errors and resulting resolutions

+

information input validation error logs or records

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for information input validation

+

organizational personnel with information security responsibilities

+

system/network administrators

+ + + + + + +

Organizational processes for the review and resolution of input validation errors

+

mechanisms supporting and/or implementing the review and resolution of input validation errors

+ + + + + Predictable Behavior + + + + + + + + + +

Verify that the system behaves in a predictable and documented manner when invalid inputs are received.

+ + +

A common vulnerability in organizational systems is unpredictable behavior when invalid inputs are received. Verification of system predictability helps ensure that the system behaves as expected when invalid inputs are received. This occurs by specifying system responses that allow the system to transition to known states without adverse, unintended side effects. The invalid inputs are those related to the information inputs defined by the organization in the base control ( SI-10).

+ + + + + +

the system behaves in a predictable manner when invalid inputs are received;

+ + + + +

the system behaves in a documented manner when invalid inputs are received.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing information input validation

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for information input validation

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Automated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received

+ + + + + Timing Interactions + + + + + + + + +

Account for timing interactions among system components in determining appropriate responses for invalid inputs.

+ + +

In addressing invalid system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols in the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to noise or collisions on the link. If TCP makes a congestion response, it takes the wrong action in response to a collision event. Adversaries may be able to use what appear to be acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input. The invalid inputs are those related to the information inputs defined by the organization in the base control ( SI-10).

+ + + +

timing interactions among system components are accounted for in determining appropriate responses for invalid inputs.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing information input validation

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for information input validation

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Organizational processes for determining appropriate responses to invalid inputs

+

automated mechanisms supporting and/or implementing responses to invalid inputs

+ + + + + Restrict Inputs to Trusted Sources and Approved Formats + + + + + +

trusted sources to which the use of information inputs is to be restricted are defined;

+ + + + + + + +

formats to which the use of information inputs is to be restricted are defined;

+ + + + + + + + + + + + +

Restrict the use of information inputs to and/or .

+ + +

Restricting the use of inputs to trusted sources and in trusted formats applies the concept of authorized or permitted software to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity. The information inputs are those defined by the organization in the base control ( SI-10).

+ + + +

the use of information inputs is restricted to and/or .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing information input validation

+

system design documentation

+

system configuration settings and associated documentation

+

list of trusted sources for information inputs

+

list of acceptable formats for input restrictions

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for information input validation

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Organizational processes for restricting information inputs

+

automated mechanisms supporting and/or implementing restriction of information inputs

+ + + + + Injection Prevention + + + + + + + + + + +

Prevent untrusted data injections.

+ + +

Untrusted data injections may be prevented using a parameterized interface or output escaping (output encoding). Parameterized interfaces separate data from code so that injections of malicious or unintended data cannot change the semantics of commands being sent. Output escaping uses specified characters to inform the interpreter’s parser whether data is trusted. Prevention of untrusted data injections are with respect to the information inputs defined by the organization in the base control ( SI-10).

+ + + +

untrusted data injections are prevented.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing information input validation

+

system design documentation

+

system configuration settings and associated documentation

+

list of trusted sources for information inputs

+

list of acceptable formats for input restrictions

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for information input validation

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Organizational processes for preventing untrusted data injections

+

automated mechanisms supporting and/or implementing injection prevention

+ + + + + + Error Handling + + + + + +

personnel or roles to whom error messages are to be revealed is/are defined;

+ + + + + + + + + + + + + + + +

Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and

+ + + +

Reveal error messages only to .

+ + + +

Organizations consider the structure and content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes stack traces and implementation details; erroneous logon attempts with passwords mistakenly entered as the username; mission or business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information, such as account numbers, social security numbers, and credit card numbers. Error messages may also provide a covert channel for transmitting information.

+ + + + + +

error messages that provide the information necessary for corrective actions are generated without revealing information that could be exploited;

+ + + + +

error messages are revealed only to .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing system error handling

+

system design documentation

+

system configuration settings and associated documentation

+

documentation providing the structure and content of error messages

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for information input validation

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Organizational processes for error handling

+

automated mechanisms supporting and/or implementing error handling

+

automated mechanisms supporting and/or implementing the management of error messages

+ + + + + Information Management and Retention + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements.

+ + +

Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, reports, data output from control implementation, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention and schedules. If organizations have a records management office, consider coordinating with records management personnel. Records produced from the output of implemented controls that may require management and retention include, but are not limited to: All XX-1, AC-6(9), AT-4, AU-12, CA-2, CA-3, CA-5, CA-6, CA-7, CA-8, CA-9, CM-2, CM-3, CM-4, CM-6, CM-8, CM-9, CM-12, CM-13, CP-2, IR-6, IR-8, MA-2, MA-4, PE-2, PE-8, PE-16, PE-17, PL-2, PL-4, PL-7, PL-8, PM-5, PM-8, PM-9, PM-18, PM-21, PM-27, PM-28, PM-30, PM-31, PS-2, PS-6, PS-7, PT-2, PT-3, PT-7, RA-2, RA-3, RA-5, RA-8, SA-4, SA-5, SA-8, SA-10, SI-4, SR-2, SR-4, SR-8.

+ + + + + +

information within the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;

+ + + + +

information within the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;

+ + + + +

information output from the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;

+ + + + +

information output from the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

records retention and disposition policy

+

records retention and disposition procedures

+

federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information management and retention

+

media protection policy

+

media protection procedures

+

audit findings

+

system security plan

+

privacy plan

+

privacy program plan

+

personally identifiable information inventory

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information and records management, retention, and disposition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

network administrators

+ + + + + + +

Organizational processes for information management, retention, and disposition

+

automated mechanisms supporting and/or implementing information management, retention, and disposition

+ + + + Limit Personally Identifiable Information Elements + + + + + +

elements of personally identifiable information being processed in the information life cycle are defined;

+ + + + + + + + + + +

Limit personally identifiable information being processed in the information life cycle to the following elements of personally identifiable information: .

+ + +

Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for operational purposes helps to reduce the level of privacy risk created by a system. The information life cycle includes information creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining which elements of personally identifiable information may create risk.

+ + + +

personally identifiable information being processed in the information life cycle is limited to .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

personally identifiable information processing procedures

+

records retention and disposition policy

+

records retention and disposition procedures

+

federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to limiting personally identifiable information elements

+

personally identifiable information inventory

+

system audit records

+

audit findings

+

system security plan

+

privacy plan

+

privacy program plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

data mapping documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information and records management, retention, and disposition responsibilities

+

organizational personnel with security and privacy responsibilities

+

network administrators

+ + + + + + +

Organizational processes for information management and retention (including limiting personally identifiable information processing)

+

automated mechanisms supporting and/or implementing limits to personally identifiable information processing

+ + + + + Minimize Personally Identifiable Information in Testing, Training, and Research + + + + + + + + + + +

techniques used to minimize the use of personally identifiable information for research are defined;

+ + + + + + +

techniques used to minimize the use of personally identifiable information for testing are defined;

+ + + + + + +

techniques used to minimize the use of personally identifiable information for training are defined;

+ + + + + + + + + + + + +

Use the following techniques to minimize the use of personally identifiable information for research, testing, or training: .

+ + +

Organizations can minimize the risk to an individual’s privacy by employing techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for research, testing, or training helps reduce the level of privacy risk created by a system. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining the techniques to use and when to use them.

+ + + + + +

are used to minimize the use of personally identifiable information for research;

+ + + + +

are used to minimize the use of personally identifiable information for testing;

+ + + + +

are used to minimize the use of personally identifiable information for training.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

personally identifiable information processing procedures

+

federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to minimizing the use of personally identifiable information in testing, training, and research

+

policy for the minimization of personally identifiable information used in testing, training, and research

+

procedures for the minimization of personally identifiable information used in testing, training, and research

+

documentation supporting minimization policy implementation (e.g., templates for testing, training, and research)

+

data sets used for testing, training, and research

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information and records management, retention, and disposition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

network administrators

+

system developers

+

personnel with IRB responsibilities

+ + + + + + +

Organizational processes for the minimization of personally identifiable information used in testing, training, and research

+

automated mechanisms supporting and/or implementing the minimization of personally identifiable information used in testing, training, and research

+ + + + + Information Disposal + + + + + + + + + + +

techniques used to dispose of information following the retention period are defined;

+ + + + + + +

techniques used to destroy information following the retention period are defined;

+ + + + + + +

techniques used to erase information following the retention period are defined;

+ + + + + + + + + +

Use the following techniques to dispose of, destroy, or erase information following the retention period: .

+ + +

Organizations can minimize both security and privacy risks by disposing of information when it is no longer needed. The disposal or destruction of information applies to originals as well as copies and archived records, including system logs that may contain personally identifiable information.

+ + + + + +

are used to dispose of information following the retention period;

+ + + + +

are used to destroy information following the retention period;

+ + + + +

are used to erase information following the retention period.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

personally identifiable information processing procedures

+

records retention and disposition policy

+

records retention and disposition procedures

+

laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information disposal

+

media protection policy

+

media protection procedures

+

system audit records

+

audit findings

+

information disposal records

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information and records management, retention, and disposition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

network administrators

+ + + + + + +

Organizational processes for information disposition

+

automated mechanisms supporting and/or implementing information disposition

+ + + + + + Predictable Failure Prevention + + + + + +

system components for which mean time to failure (MTTF) should be determined are defined;

+ + + + + + + + +

mean time to failure (MTTF) substitution criteria to be used as a means to exchange active and standby components are defined;

+ + + + + + + + + + + + + + + + + + +

Determine mean time to failure (MTTF) for the following system components in specific environments of operation: ; and

+ + + +

Provide substitute system components and a means to exchange active and standby components in accordance with the following criteria: .

+ + + +

While MTTF is primarily a reliability issue, predictable failure prevention is intended to address potential failures of system components that provide security capabilities. Failure rates reflect installation-specific consideration rather than the industry-average. Organizations define the criteria for the substitution of system components based on the MTTF value with consideration for the potential harm from component failures. The transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capabilities. The preservation of system state variables is also critical to help ensure a successful transfer process. Standby components remain available at all times except for maintenance issues or recovery failures in progress.

+ + + + + +

mean time to failure (MTTF) is determined for in specific environments of operation;

+ + + + +

substitute system components and a means to exchange active and standby components are provided in accordance with .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing predictable failure prevention

+

system design documentation

+

system configuration settings and associated documentation

+

list of MTTF substitution criteria

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for MTTF determinations and activities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

organizational personnel with contingency planning responsibilities

+ + + + + + +

Organizational processes for managing MTTF

+ + + + Transferring Component Responsibilities + + + + + +

the fraction or percentage of mean time to failure within which to transfer the responsibilities of a system component to a substitute component is defined;

+ + + + + + + + + + +

Take system components out of service by transferring component responsibilities to substitute components no later than of mean time to failure.

+ + +

Transferring primary system component responsibilities to other substitute components prior to primary component failure is important to reduce the risk of degraded or debilitated mission or business functions. Making such transfers based on a percentage of mean time to failure allows organizations to be proactive based on their risk tolerance. However, the premature replacement of system components can result in the increased cost of system operations.

+ + + +

system components are taken out of service by transferring component responsibilities to substitute components no later than of mean time to failure.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing predictable failure prevention

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for MTTF activities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

organizational personnel with contingency planning responsibilities

+ + + + + + +

Organizational processes for managing MTTF

+

automated mechanisms supporting and/or implementing the transfer of component responsibilities to substitute components

+ + + + + Time Limit on Process Execution Without Supervision + + + + + + + + + Manual Transfer Between Components + + + + + +

the percentage of the mean time to failure for transfers to be manually initiated is defined;

+ + + + + + + + + + +

Manually initiate transfers between active and standby system components when the use of the active component reaches of the mean time to failure.

+ + +

For example, if the MTTF for a system component is 100 days and the MTTF percentage defined by the organization is 90 percent, the manual transfer would occur after 90 days.

+ + + +

transfers are initiated manually between active and standby system components when the use of the active component reaches of the mean time to failure.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing predictable failure prevention

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for MTTF activities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

organizational personnel with contingency planning responsibilities

+ + + + + + +

Organizational processes for managing MTTF and conducting the manual transfer between active and standby components

+ + + + + Standby Component Installation and Notification + + + + + +

time period for standby components to be installed is defined;

+ + + + + + + + + + + + +

alarm to be activated when system component failures are detected is defined (if selected);

+ + + + + + + +

action to be taken when system component failures are detected is defined (if selected);

+ + + + + + + + + + + +

If system component failures are detected:

+ + +

Ensure that the standby components are successfully and transparently installed within ; and

+ + + +

.

+ + + +

Automatic or manual transfer of components from standby to active mode can occur upon the detection of component failures.

+ + + + + +

the standby components are successfully and transparently installed within if system component failures are detected;

+ + + + +

are performed if system component failures are detected.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing predictable failure prevention

+

system design documentation

+

system configuration settings and associated documentation

+

list of actions to be taken once system component failure is detected

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for MTTF activities

+

organizational personnel with information security responsibilities

+

system/network administrators

+

organizational personnel with contingency planning responsibilities

+ + + + + + +

Organizational processes for managing MTTF

+

automated mechanisms supporting and/or implementing the transparent installation of standby components

+

automated mechanisms supporting and/or implementing alarms or system shutdown if component failures are detected

+ + + + + Failover Capability + + + + + + + + + + +

a failover capability for the system has been defined;

+ + + + + + + + + + + + + +

Provide for the system.

+ + +

Failover refers to the automatic switchover to an alternate system upon the failure of the primary system. Failover capability includes incorporating mirrored system operations at alternate processing sites or periodic data mirroring at regular intervals defined by the recovery time periods of organizations.

+ + + +

is provided for the system.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing predictable failure prevention

+

system design documentation

+

system configuration settings and associated documentation

+

documentation describing the failover capability provided for the system

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for the failover capability

+

organizational personnel with information security responsibilities

+

system/network administrators

+

organizational personnel with contingency planning responsibilities

+ + + + + + +

Organizational processes for managing the failover capability

+

automated mechanisms supporting and/or implementing the failover capability

+ + + + + + Non-persistence + + + + + +

non-persistent system components and services to be implemented are defined;

+ + + + + + + + + + + + +

the frequency at which to terminate non-persistent components and services that are initiated in a known state is defined (if selected);

+ + + + + + + + + + + + +

Implement non-persistent that are initiated in a known state and terminated .

+ + +

Implementation of non-persistent components and services mitigates risk from advanced persistent threats (APTs) by reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. By implementing the concept of non-persistence for selected system components, organizations can provide a trusted, known state computing resource for a specific time period that does not give adversaries sufficient time to exploit vulnerabilities in organizational systems or operating environments. Since the APT is a high-end, sophisticated threat with regard to capability, intent, and targeting, organizations assume that over an extended period, a percentage of attacks will be successful. Non-persistent system components and services are activated as required using protected information and terminated periodically or at the end of sessions. Non-persistence increases the work factor of adversaries attempting to compromise or breach organizational systems.

+

Non-persistence can be achieved by refreshing system components, periodically reimaging components, or using a variety of common virtualization techniques. Non-persistent services can be implemented by using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent). The benefit of periodic refreshes of system components and services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult to determine). The refresh of selected system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the system unstable. Refreshes of critical components and services may be done periodically to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.

+ + + + + +

non-persistent that are initiated in a known state are implemented;

+ + + + +

non-persistent are terminated .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing non-persistence for system components

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for non-persistence

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Automated mechanisms supporting and/or implementing the initiation and termination of non-persistent components

+ + + + Refresh from Trusted Sources + + + + + +

trusted sources to obtain software and data for system component and service refreshes are defined;

+ + + + + + + + + + +

Obtain software and data employed during system component and service refreshes from the following trusted sources: .

+ + +

Trusted sources include software and data from write-once, read-only media or from selected offline secure storage facilities.

+ + + +

the software and data employed during system component and service refreshes are obtained from .

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing non-persistence for system components

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for obtaining component and service refreshes from trusted sources

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for defining and obtaining component and service refreshes from trusted sources

+

automated mechanisms supporting and/or implementing component and service refreshes

+ + + + + Non-persistent Information + + + + + + + + + + +

the information to be refreshed is defined (if selected);

+ + + + + + + +

the frequency at which to refresh information is defined (if selected);

+ + + + + + + +

the information to be generated is defined (if selected);

+ + + + + + + + + + + + +

; and

+ + + +

Delete information when no longer needed.

+ + + +

Retaining information longer than is needed makes the information a potential target for advanced adversaries searching for high value assets to compromise through unauthorized disclosure, unauthorized modification, or exfiltration. For system-related information, unnecessary retention provides advanced adversaries information that can assist in their reconnaissance and lateral movement through the system.

+ + + + + +

is performed;

+ + + + +

information is deleted when no longer needed.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing non-persistence for system components

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for ensuring that information is and remains non-persistent

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for ensuring that information is and remains non-persistent

+

automated mechanisms supporting and/or implementing component and service refreshes

+ + + + + Non-persistent Connectivity + + + + + + + + + + + + + + +

Establish connections to the system on demand and terminate connections after .

+ + +

Persistent connections to systems can provide advanced adversaries with paths to move laterally through systems and potentially position themselves closer to high value assets. Limiting the availability of such connections impedes the adversary’s ability to move freely through organizational systems.

+ + + + + +

connections to the system are established on demand;

+ + + + +

connections to the system are terminated after .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing non-persistence for system components

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for limiting persistent connections

+

organizational personnel with information security responsibilities

+ + + + + + +

Organizational processes for limiting persistent connections

+

automated mechanisms supporting and/or implementing non-persistent connectivity

+ + + + + + Information Output Filtering + + + + + +

software programs and/or applications whose information output requires validation are defined;

+ + + + + + + + + + + + +

Validate information output from the following software programs and/or applications to ensure that the information is consistent with the expected content: .

+ + +

Certain types of attacks, including SQL injections, produce output results that are unexpected or inconsistent with the output results that would be expected from software programs or applications. Information output filtering focuses on detecting extraneous content, preventing such extraneous content from being displayed, and then alerting monitoring tools that anomalous behavior has been discovered.

+ + + +

information output from is validated to ensure that the information is consistent with the expected content.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing information output filtering

+

system design documentation

+

system configuration settings and associated documentation

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for validating information output

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Organizational processes for validating information output

+

automated mechanisms supporting and/or implementing information output validation

+ + + + + Memory Protection + + + + + +

controls to be implemented to protect the system memory from unauthorized code execution are defined;

+ + + + + + + + + + + + +

Implement the following controls to protect the system memory from unauthorized code execution: .

+ + +

Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Controls employed to protect memory include data execution prevention and address space layout randomization. Data execution prevention controls can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism.

+ + + +

are implemented to protect the system memory from unauthorized code execution.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

procedures addressing memory protection for the system

+

system design documentation

+

system configuration settings and associated documentation

+

list of security safeguards protecting system memory from unauthorized code execution

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for memory protection

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Automated mechanisms supporting and/or implementing safeguards to protect the system memory from unauthorized code execution

+ + + + + Fail-safe Procedures + + + + + + + + + +

fail-safe procedures associated with failure conditions are defined;

+ + + + + + +

a list of failure conditions requiring fail-safe procedures is defined;

+ + + + + + + + + + + + + +

Implement the indicated fail-safe procedures when the indicated failures occur: .

+ + +

Failure conditions include the loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include alerting operator personnel and providing specific instructions on subsequent steps to take. Subsequent steps may include doing nothing, reestablishing system settings, shutting down processes, restarting the system, or contacting designated organizational personnel.

+ + + +

are implemented when occur.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

documentation addressing fail-safe procedures for the system

+

system design documentation

+

system configuration settings and associated documentation

+

list of security safeguards protecting the system memory from unauthorized code execution

+

system audit records

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for fail-safe procedures

+

organizational personnel with information security responsibilities

+

system/network administrators

+

system developer

+ + + + + + +

Organizational fail-safe procedures

+

automated mechanisms supporting and/or implementing fail-safe procedures

+ + + + + Personally Identifiable Information Quality Operations + + + + + + + + + + + +

the frequency at which to check the accuracy of personally identifiable information across the information life cycle is defined;

+ + + + + + +

the frequency at which to check the relevance of personally identifiable information across the information life cycle is defined;

+ + + + + + +

the frequency at which to check the timeliness of personally identifiable information across the information life cycle is defined;

+ + + + + + +

the frequency at which to check the completeness of personally identifiable information across the information life cycle is defined;

+ + + + + + + + + + + + + + + + + + +

Check the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle ; and

+ + + +

Correct or delete inaccurate or outdated personally identifiable information.

+ + + +

Personally identifiable information quality operations include the steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal of personally identifiable information. Personally identifiable information quality operations include editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. Checking personally identifiable information quality includes the tracking of updates or changes to data over time, which enables organizations to know how and what personally identifiable information was changed should erroneous information be identified. The measures taken to protect personally identifiable information quality are based on the nature and context of the personally identifiable information, how it is to be used, how it was obtained, and the potential de-identification methods employed. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals covered under federal programs may be more comprehensive than the measures used to validate personally identifiable information used for less sensitive purposes.

+ + + + + + + +

the accuracy of personally identifiable information across the information life cycle is checked ;

+ + + + +

the relevance of personally identifiable information across the information life cycle is checked ;

+ + + + +

the timeliness of personally identifiable information across the information life cycle is checked ;

+ + + + +

the completeness of personally identifiable information across the information life cycle is checked ;

+ + + + + + +

inaccurate or outdated personally identifiable information is corrected or deleted.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

documentation addressing personally identifiable information quality operations

+

quality reports

+

maintenance logs

+

system audit records

+

audit findings

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for performing personally identifiable information quality inspections

+

organizational personnel with information security responsibilities

+

organizational personnel with privacy responsibilities

+ + + + + + +

Organizational processes for personally identifiable information quality inspection

+

automated mechanisms supporting and/or implementing personally identifiable information quality operations

+ + + + Automation Support + + + + + +

automated mechanisms used to correct or delete personally identifiable information that is inaccurate, outdated, incorrectly determined regarding impact, or incorrectly de-identified are defined;

+ + + + + + + + + + + + +

Correct or delete personally identifiable information that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified using .

+ + +

The use of automated mechanisms to improve data quality may inadvertently create privacy risks. Automated tools may connect to external or otherwise unrelated systems, and the matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessments and make determinations that are in alignment with their privacy program plans.

+

As data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Automated mechanisms can augment existing data quality processes and procedures and enable an organization to better identify and manage personally identifiable information in large-scale systems. For example, automated tools can greatly improve efforts to consistently normalize data or identify malformed data. Automated tools can also be used to improve the auditing of data and detect errors that may incorrectly alter personally identifiable information or incorrectly associate such information with the wrong individual. Automated capabilities backstop processes and procedures at-scale and enable more fine-grained detection and correction of data quality errors.

+ + + +

are used to correct or delete personally identifiable information that is inaccurate, outdated, incorrectly determined regarding impact, or incorrectly de-identified.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

documentation addressing personally identifiable information quality operations

+

quality reports

+

maintenance logs

+

system audit records

+

audit findings

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for performing personally identifiable information quality inspections

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for personally identifiable information quality inspection

+

automated mechanisms supporting and/or implementing personally identifiable information quality operations

+ + + + + Data Tags + + + + + + + + + + + +

Employ data tags to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems.

+ + +

Data tagging personally identifiable information includes tags that note processing permissions, authority to process, de-identification, impact level, information life cycle stage, and retention or last updated dates. Employing data tags for personally identifiable information can support the use of automation tools to correct or delete relevant personally identifiable information.

+ + + +

data tags are employed to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

procedures addressing data tagging

+

personally identifiable information inventory

+

system audit records

+

audit findings

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for tagging data

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Data tagging mechanisms

+

automated mechanisms supporting and/or implementing data tagging

+ + + + + Collection + + + + + + + + +

Collect personally identifiable information directly from the individual.

+ + +

Individuals or their designated representatives can be sources of correct personally identifiable information. Organizations consider contextual factors that may incentivize individuals to provide correct data versus false data. Additional steps may be necessary to validate collected information based on the nature and context of the personally identifiable information, how it is to be used, and how it was obtained. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than the measures taken to validate less sensitive personally identifiable information.

+ + + +

personally identifiable information is collected directly from the individual.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

system configuration documentation

+

system audit records

+

user interface where personally identifiable information is collected

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for data collection

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Data collection mechanisms

+

automated mechanisms supporting and/or validating collection directly from the individual

+ + + + + Individual Requests + + + + + + + + +

Correct or delete personally identifiable information upon request by individuals or their designated representatives.

+ + +

Inaccurate personally identifiable information maintained by organizations may cause problems for individuals, especially in those business functions where inaccurate information may result in inappropriate decisions or the denial of benefits and services to individuals. Even correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of an organization maintaining the information. Organizations use discretion when determining if personally identifiable information is to be corrected or deleted based on the scope of requests, the changes sought, the impact of the changes, and laws, regulations, and policies. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding appropriate instances of correction or deletion.

+ + + +

personally identifiable information is corrected or deleted upon request by individuals or their designated representatives.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

system configuration

+

individual requests

+

records of correction or deletion actions performed

+

system audit records

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for responding to individual requests for personally identifiable information correction or deletion

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Request mechanisms

+

automated mechanisms supporting and/or implementing individual requests for correction or deletion

+ + + + + Notice of Correction or Deletion + + + + + + +

recipients of personally identifiable information to be notified when the personally identifiable information has been corrected or deleted are defined;

+ + + + + + + + + + +

Notify and individuals that the personally identifiable information has been corrected or deleted.

+ + +

When personally identifiable information is corrected or deleted, organizations take steps to ensure that all authorized recipients of such information, and the individual with whom the information is associated or their designated representatives, are informed of the corrected or deleted information.

+ + + +

and individuals are notified when the personally identifiable information has been corrected or deleted.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

system configuration

+

individual requests for corrections or deletions

+

notifications of correction or deletion action

+

system audit records

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for sending correction or deletion notices

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Organizational processes for notifications of correction or deletion

+

automated mechanisms supporting and/or implementing notifications of correction or deletion

+ + + + + + De-identification + + + + + + +

elements of personally identifiable information to be removed from datasets are defined;

+ + + + + + + +

the frequency at which to evaluate the effectiveness of de-identification is defined;

+ + + + + + + + + + + + + + + + + + + +

Remove the following elements of personally identifiable information from datasets: ; and

+ + + +

Evaluate for effectiveness of de-identification.

+ + + +

De-identification is the general term for the process of removing the association between a set of identifying data and the data subject. Many datasets contain information about individuals that can be used to distinguish or trace an individual’s identity, such as name, social security number, date and place of birth, mother’s maiden name, or biometric records. Datasets may also contain other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information. Personally identifiable information is removed from datasets by trained individuals when such information is not (or no longer) necessary to satisfy the requirements envisioned for the data. For example, if the dataset is only used to produce aggregate statistics, the identifiers that are not needed for producing those statistics are removed. Removing identifiers improves privacy protection since information that is removed cannot be inadvertently disclosed or improperly used. Organizations may be subject to specific de-identification definitions or methods under applicable laws, regulations, or policies. Re-identification is a residual risk with de-identified data. Re-identification attacks can vary, including combining new datasets or other improvements in data analytics. Maintaining awareness of potential attacks and evaluating for the effectiveness of the de-identification over time support the management of this residual risk.

+ + + + + +

are removed from datasets;

+ + + + +

the effectiveness of de-identification is evaluated .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

de-identification procedures

+

system configuration

+

datasets with personally identifiable information removed

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for identifying unnecessary identifiers

+

organizational personnel responsible for removing personally identifiable information from datasets

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms supporting and/or implementing the removal of personally identifiable information elements

+ + + + Collection + + + + + + + + +

De-identify the dataset upon collection by not collecting personally identifiable information.

+ + +

If a data source contains personally identifiable information but the information will not be used, the dataset can be de-identified when it is created by not collecting the data elements that contain the personally identifiable information. For example, if an organization does not intend to use the social security number of an applicant, then application forms do not ask for a social security number.

+ + + +

the dataset is de-identified upon collection by not collecting personally identifiable information.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

de-identification procedures

+

procedures for minimizing the collection of personally identifiable information

+

system configuration

+

data collection mechanisms

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for de-identifying the dataset

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms preventing the collection of personally identifiable information

+ + + + + Archiving + + + + + + + + +

Prohibit archiving of personally identifiable information elements if those elements in a dataset will not be needed after the dataset is archived.

+ + +

Datasets can be archived for many reasons. The envisioned purposes for the archived dataset are specified, and if personally identifiable information elements are not required, the elements are not archived. For example, social security numbers may have been collected for record linkage, but the archived dataset may include the required elements from the linked records. In this case, it is not necessary to archive the social security numbers.

+ + + +

the archiving of personally identifiable information elements is prohibited if those elements in a dataset will not be needed after the dataset is archived.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

de-identification procedures

+

system configuration documentation

+

data archiving mechanisms

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for de-identifying the dataset

+

organizational personnel with dataset archival responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms prohibiting the archival of personally identifiable information elements

+ + + + + Release + + + + + + + + +

Remove personally identifiable information elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.

+ + +

Prior to releasing a dataset, a data custodian considers the intended uses of the dataset and determines if it is necessary to release personally identifiable information. If the personally identifiable information is not necessary, the information can be removed using de-identification techniques.

+ + + +

personally identifiable information elements are removed from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

de-identification procedures

+

procedures for minimizing the release of personally identifiable information

+

system configuration

+

data release mechanisms

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for de-identifying the dataset

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms supporting and/or implementing the removal of personally identifiable information elements from a dataset

+ + + + + Removal, Masking, Encryption, Hashing, or Replacement of Direct Identifiers + + + + + + + + + +

Remove, mask, encrypt, hash, or replace direct identifiers in a dataset.

+ + +

There are many possible processes for removing direct identifiers from a dataset. Columns in a dataset that contain a direct identifier can be removed. In masking, the direct identifier is transformed into a repeating character, such as XXXXXX or 999999. Identifiers can be encrypted or hashed so that the linked records remain linked. In the case of encryption or hashing, algorithms are employed that require the use of a key, including the Advanced Encryption Standard or a Hash-based Message Authentication Code. Implementations may use the same key for all identifiers or use a different key for each identifier. Using a different key for each identifier provides a higher degree of security and privacy. Identifiers can alternatively be replaced with a keyword, including transforming George Washington to PATIENT or replacing it with a surrogate value, such as transforming George Washington to Abraham Polk.

+ + + +

direct identifiers in a dataset are removed, masked, encrypted, hashed, or replaced.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

de-identification procedures

+

system configuration

+

documentation of de-identified datasets

+

tools for the removal, masking, encryption, hashing or replacement of direct identifiers

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for de-identifying the dataset

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms supporting and/or implementing the removal, masking, encryption, hashing or replacement of direct identifiers

+ + + + + Statistical Disclosure Control + + + + + + + + +

Manipulate numerical data, contingency tables, and statistical findings so that no individual or organization is identifiable in the results of the analysis.

+ + +

Many types of statistical analyses can result in the disclosure of information about individuals even if only summary information is provided. For example, if a school that publishes a monthly table with the number of minority students enrolled, reports that it has 10-19 such students in January, and subsequently reports that it has 20-29 such students in March, then it can be inferred that the student who enrolled in February was a minority.

+ + + + + +

numerical data is manipulated so that no individual or organization is identifiable in the results of the analysis;

+ + + + +

contingency tables are manipulated so that no individual or organization is identifiable in the results of the analysis;

+ + + + +

statistical findings are manipulated so that no individual or organization is identifiable in the results of the analysis.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

de-identification procedures

+

system configuration

+

de-identified datasets

+

statistical analysis report

+

tools for the control of statistical disclosure

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for de-identifying the dataset

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms supporting and/or implementing the control of statistical disclosure

+ + + + + Differential Privacy + + + + + + + + + + +

Prevent disclosure of personally identifiable information by adding non-deterministic noise to the results of mathematical operations before the results are reported.

+ + +

The mathematical definition for differential privacy holds that the result of a dataset analysis should be approximately the same before and after the addition or removal of a single data record (which is assumed to be the data from a single individual). In its most basic form, differential privacy applies only to online query systems. However, it can also be used to produce machine-learning statistical classifiers and synthetic data. Differential privacy comes at the cost of decreased accuracy of results, forcing organizations to quantify the trade-off between privacy protection and the overall accuracy, usefulness, and utility of the de-identified dataset. Non-deterministic noise can include adding small, random values to the results of mathematical operations in dataset analysis.

+ + + +

the disclosure of personally identifiable information is prevented by adding non-deterministic noise to the results of mathematical operations before the results are reported.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

de-identification procedures

+

system configuration

+

de-identified datasets

+

differential privacy tools

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for de-identifying the dataset

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Online query systems

+

automated mechanisms supporting and/or implementing differential privacy

+ + + + + Validated Algorithms and Software + + + + + + + +

Perform de-identification using validated algorithms and software that is validated to implement the algorithms.

+ + +

Algorithms that appear to remove personally identifiable information from a dataset may in fact leave information that is personally identifiable or data that is re-identifiable. Software that is claimed to implement a validated algorithm may contain bugs or implement a different algorithm. Software may de-identify one type of data, such as integers, but not de-identify another type of data, such as floating point numbers. For these reasons, de-identification is performed using algorithms and software that are validated.

+ + + + + +

de-identification is performed using validated algorithms;

+ + + + +

de-identification is performed using software that is validated to implement the algorithms.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

de-identification procedures

+

system configuration

+

de-identified datasets

+

algorithm and software validation tools

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for de-identifying the dataset

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Validated algorithms and software

+ + + + + Motivated Intruder + + + + + + + + +

Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.

+ + +

A motivated intruder test is a test in which an individual or group takes a data release and specified resources and attempts to re-identify one or more individuals in the de-identified dataset. Such tests specify the amount of inside knowledge, computational resources, financial resources, data, and skills that intruders possess to conduct the tests. A motivated intruder test can determine if the de-identification is insufficient. It can also be a useful diagnostic tool to assess if de-identification is likely to be sufficient. However, the test alone cannot prove that de-identification is sufficient.

+ + + +

a motivated intruder test is performed on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

de-identification procedures

+

system configuration

+

motivated intruder test procedures

+

de-identified datasets

+

system security plan

+

privacy plan

+

privacy impact assessment

+

privacy risk assessment documentation

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for de-identifying the dataset

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Motivated intruder test

+ + + + + + Tainting + + + + + +

the systems or system components with data or capabilities to be embedded are defined;

+ + + + + + + + + + + + + +

Embed data or capabilities in the following systems or system components to determine if organizational data has been exfiltrated or improperly removed from the organization: .

+ + +

Many cyber-attacks target organizational information, or information that the organization holds on behalf of other entities (e.g., personally identifiable information), and exfiltrate that data. In addition, insider attacks and erroneous user procedures can remove information from the system that is in violation of the organizational policies. Tainting approaches can range from passive to active. A passive tainting approach can be as simple as adding false email names and addresses to an internal database. If the organization receives email at one of the false email addresses, it knows that the database has been compromised. Moreover, the organization knows that the email was sent by an unauthorized entity, so any packets it includes potentially contain malicious code, and that the unauthorized entity may have potentially obtained a copy of the database. Another tainting approach can include embedding false data or steganographic data in files to enable the data to be found via open-source analysis. Finally, an active tainting approach can include embedding software in the data that is able to call home, thereby alerting the organization to its capture, and possibly its location, and the path by which it was exfiltrated or removed.

+ + + +

data or capabilities are embedded in to determine if organizational data has been exfiltrated or improperly removed from the organization.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

procedures addressing software and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

policy and procedures addressing the systems security engineering technique of deception

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for detecting tainted data

+

organizational personnel with systems security engineering responsibilities

+

organizational personnel with information security and privacy responsibilities

+ + + + + + +

Automated mechanisms for post-breach detection

+

decoys, traps, lures, and methods for deceiving adversaries

+

detection and notification mechanisms

+ + + + + Information Refresh + + + + + +

the information to be refreshed is defined;

+ + + + + + + +

the frequencies at which to refresh information are defined;

+ + + + + + + + + + + + + +

Refresh at or generate the information on demand and delete the information when no longer needed.

+ + +

Retaining information for longer than it is needed makes it an increasingly valuable and enticing target for adversaries. Keeping information available for the minimum period of time needed to support organizational missions or business functions reduces the opportunity for adversaries to compromise, capture, and exfiltrate that information.

+ + + +

the is refreshed or is generated on demand and deleted when no longer needed.

+ + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

procedures addressing software and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

information refresh procedures

+

list of information to be refreshed

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel responsible for refreshing information

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with systems security engineering responsibilities

+

system developers

+ + + + + + +

Mechanisms for information refresh

+

organizational processes for information refresh

+ + + + + Information Diversity + + + + + +

alternative information sources for essential functions and services are defined;

+ + + + + + + +

essential functions and services that require alternative sources of information are defined;

+ + + + + + + +

systems or system components that require an alternative information source for the execution of essential functions or services are defined;

+ + + + + + + + + + + + + +

Identify the following alternative sources of information for : ; and

+ + + +

Use an alternative information source for the execution of essential functions or services on when the primary source of information is corrupted or unavailable.

+ + + +

Actions taken by a system service or a function are often driven by the information it receives. Corruption, fabrication, modification, or deletion of that information could impact the ability of the service function to properly carry out its intended actions. By having multiple sources of input, the service or function can continue operation if one source is corrupted or no longer available. It is possible that the alternative sources of information may be less precise or less accurate than the primary source of information. But having such sub-optimal information sources may still provide a sufficient level of quality that the essential service or function can be carried out, even in a degraded or debilitated manner.

+ + + + + +

for are identified;

+ + + + +

an alternative information source is used for the execution of essential functions or services on when the primary source of information is corrupted or unavailable.

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

system design documentation

+

system configuration settings and associated documentation

+

list of information sources

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

organizational personnel with systems security engineering responsibilities

+

system developers

+ + + + + + +

Automated methods and mechanisms to convert information from an analog to digital medium

+ + + + + Information Fragmentation + + + + + +

circumstances that require information fragmentation are defined;

+ + + + + + + +

the information to be fragmented is defined;

+ + + + + + + +

systems or system components across which the fragmented information is to be distributed are defined;

+ + + + + + + + + + + +

Based on :

+ + +

Fragment the following information: ; and

+ + + +

Distribute the fragmented information across the following systems or system components: .

+ + + +

One objective of the advanced persistent threat is to exfiltrate valuable information. Once exfiltrated, there is generally no way for the organization to recover the lost information. Therefore, organizations may consider dividing the information into disparate elements and distributing those elements across multiple systems or system components and locations. Such actions will increase the adversary’s work factor to capture and exfiltrate the desired information and, in so doing, increase the probability of detection. The fragmentation of information impacts the organization’s ability to access the information in a timely manner. The extent of the fragmentation is dictated by the impact or classification level (and value) of the information, threat intelligence information received, and whether data tainting is used (i.e., data tainting-derived information about the exfiltration of some information could result in the fragmentation of the remaining information).

+ + + + + +

under , is fragmented;

+ + + + +

under , the fragmented information is distributed across .

+ + + + + + + + +

System and information integrity policy

+

system and information integrity procedures

+

personally identifiable information processing policy

+

procedures addressing software and information integrity

+

system design documentation

+

system configuration settings and associated documentation

+

procedures to identify information for fragmentation and distribution across systems/system components

+

list of distributed and fragmented information

+

list of circumstances requiring information fragmentation

+

enterprise architecture

+

system security architecture

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security and privacy responsibilities

+

organizational personnel with systems security engineering responsibilities

+

system developers

+

security architects

+ + + + + + +

Organizational processes to identify information for fragmentation and distribution across systems/system components

+

automated mechanisms supporting and/or implementing information fragmentation and distribution across systems/system components

+ + + + + + Supply Chain Risk Management + + Policy and Procedures + + + + + + + + + +

personnel or roles to whom supply chain risk management policy is to be disseminated to is/are defined;

+ + + + + + +

personnel or roles to whom supply chain risk management procedures are disseminated to is/are defined;

+ + + + + + + + + + + + +

an official to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures is defined;

+ + + + + + + +

the frequency at which the current supply chain risk management policy is reviewed and updated is defined;

+ + + + + + + +

events that require the current supply chain risk management policy to be reviewed and updated are defined;

+ + + + + + + +

the frequency at which the current supply chain risk management procedure is reviewed and updated is defined;

+ + + + + + + +

events that require the supply chain risk management procedures to be reviewed and updated are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + +

Develop, document, and disseminate to :

+ + +

supply chain risk management policy that:

+ + +

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ + + +

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

+ + + + +

Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;

+ + + + +

Designate an to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and

+ + + +

Review and update the current supply chain risk management:

+ + +

Policy and following ; and

+ + + +

Procedures and following .

+ + + + +

Supply chain risk management policy and procedures address the controls in the SR family as well as supply chain-related controls in other families that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of supply chain risk management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to supply chain risk management policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

+ + + + + + + +

a supply chain risk management policy is developed and documented;

+ + + + +

the supply chain risk management policy is disseminated to ;

+ + + + +

supply chain risk management procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls are developed and documented;

+ + + + +

the supply chain risk management procedures are disseminated to .

+ + + + + + + + +

the supply chain risk management policy addresses purpose;

+ + + + +

the supply chain risk management policy addresses scope;

+ + + + +

supply chain risk management policy addresses roles;

+ + + + +

the supply chain risk management policy addresses responsibilities;

+ + + + +

the supply chain risk management policy addresses management commitment;

+ + + + +

the supply chain risk management policy addresses coordination among organizational entities;

+ + + + +

the supply chain risk management policy addresses compliance.

+ + + + + + +

the supply chain risk management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;

+ + + + + + + + +

the is designated to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures;

+ + + + + + + + +

the current supply chain risk management policy is reviewed and updated ;

+ + + + +

the current supply chain risk management policy is reviewed and updated following ;

+ + + + + + + + +

the current supply chain risk management procedures are reviewed and updated ;

+ + + + +

the current supply chain risk management procedures are reviewed and updated following .

+ + + + + + + + + + + + +

Supply chain risk management policy

+

supply chain risk management procedures

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with supply chain risk management responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with acquisition responsibilities

+

organizational personnel with enterprise risk management responsibilities

+ + + + + Supply Chain Risk Management Plan + + + + + +

systems, system components, or system services for which a supply chain risk management plan is developed are defined;

+ + + + + + + +

the frequency at which to review and update the supply chain risk management plan is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Develop a plan for managing supply chain risks associated with the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of the following systems, system components or system services: ;

+ + + +

Review and update the supply chain risk management plan or as required, to address threat, organizational or environmental changes; and

+ + + +

Protect the supply chain risk management plan from unauthorized disclosure and modification.

+ + + +

The dependence on products, systems, and services from external providers, as well as the nature of the relationships with those providers, present an increasing level of risk to an organization. Threat actions that may increase security or privacy risks include unauthorized production, the insertion or use of counterfeits, tampering, theft, insertion of malicious software and hardware, and poor manufacturing and development practices in the supply chain. Supply chain risks can be endemic or systemic within a system element or component, a system, an organization, a sector, or the Nation. Managing supply chain risk is a complex, multifaceted undertaking that requires a coordinated effort across an organization to build trust relationships and communicate with internal and external stakeholders. Supply chain risk management (SCRM) activities include identifying and assessing risks, determining appropriate risk response actions, developing SCRM plans to document response actions, and monitoring performance against plans. The SCRM plan (at the system-level) is implementation specific, providing policy implementation, requirements, constraints and implications. It can either be stand-alone, or incorporated into system security and privacy plans. The SCRM plan addresses managing, implementation, and monitoring of SCRM controls and the development/sustainment of systems across the SDLC to support mission and business functions.

+

Because supply chains can differ significantly across and within organizations, SCRM plans are tailored to the individual program, organizational, and operational contexts. Tailored SCRM plans provide the basis for determining whether a technology, service, system component, or system is fit for purpose, and as such, the controls need to be tailored accordingly. Tailored SCRM plans help organizations focus their resources on the most critical mission and business functions based on mission and business requirements and their risk environment. Supply chain risk management plans include an expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the plan, a description of and justification for supply chain risk mitigation measures taken, and associated roles and responsibilities. Finally, supply chain risk management plans address requirements for developing trustworthy, secure, privacy-protective, and resilient system components and systems, including the application of the security design principles implemented as part of life cycle-based systems security engineering processes (see SA-8).

+ + + + + + + +

a plan for managing supply chain risks is developed;

+ + + + +

the supply chain risk management plan addresses risks associated with the research and development of ;

+ + + + +

the supply chain risk management plan addresses risks associated with the design of ;

+ + + + +

the supply chain risk management plan addresses risks associated with the manufacturing of ;

+ + + + +

the supply chain risk management plan addresses risks associated with the acquisition of ;

+ + + + +

the supply chain risk management plan addresses risks associated with the delivery of ;

+ + + + +

the supply chain risk management plan addresses risks associated with the integration of ;

+ + + + +

the supply chain risk management plan addresses risks associated with the operation and maintenance of ;

+ + + + +

the supply chain risk management plan addresses risks associated with the disposal of ;

+ + + + + + +

the supply chain risk management plan is reviewed and updated or as required to address threat, organizational, or environmental changes;

+ + + + + + +

the supply chain risk management plan is protected from unauthorized disclosure;

+ + + + +

the supply chain risk management plan is protected from unauthorized modification.

+ + + + + + + + + + +

Supply chain risk management policy

+

supply chain risk management procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing supply chain protection

+

procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification

+

system development life cycle procedures

+

procedures addressing the integration of information security and privacy requirements into the acquisition process

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

list of supply chain threats

+

list of safeguards to be taken against supply chain threats

+

system life cycle documentation

+

inter-organizational agreements and procedures

+

system security plan

+

privacy plan

+

privacy program plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for defining and documenting the system development life cycle (SDLC)

+

organizational processes for identifying SDLC roles and responsibilities

+

organizational processes for integrating supply chain risk management into the SDLC

+

mechanisms supporting and/or implementing the SDLC

+ + + + Establish SCRM Team + + + + + + +

the personnel, roles, and responsibilities of the supply chain risk management team are defined;

+ + + + + + + +

supply chain risk management activities are defined;

+ + + + + + + + + + +

Establish a supply chain risk management team consisting of to lead and support the following SCRM activities: .

+ + +

To implement supply chain risk management plans, organizations establish a coordinated, team-based approach to identify and assess supply chain risks and manage these risks by using programmatic and technical mitigation techniques. The team approach enables organizations to conduct an analysis of their supply chain, communicate with internal and external partners or stakeholders, and gain broad consensus regarding the appropriate resources for SCRM. The SCRM team consists of organizational personnel with diverse roles and responsibilities for leading and supporting SCRM activities, including risk executive, information technology, contracting, information security, privacy, mission or business, legal, supply chain and logistics, acquisition, business continuity, and other relevant functions. Members of the SCRM team are involved in various aspects of the SDLC and, collectively, have an awareness of and provide expertise in acquisition processes, legal practices, vulnerabilities, threats, and attack vectors, as well as an understanding of the technical aspects and dependencies of systems. The SCRM team can be an extension of the security and privacy risk management processes or be included as part of an organizational risk management team.

+ + + +

a supply chain risk management team consisting of is established to lead and support .

+ + + + + + +

Supply chain risk management policy

+

supply chain risk management procedures

+

supply chain risk management team charter documentation

+

supply chain risk management strategy

+

supply chain risk management implementation plan

+

procedures addressing supply chain protection

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with supply chain risk management responsibilities

+

organizational personnel with enterprise risk management responsibilities

+

legal counsel

+

organizational personnel with business continuity responsibilities

+ + + + + + Supply Chain Controls and Processes + + + + + +

the system or system component requiring a process or processes to identify and address weaknesses or deficiencies is defined;

+ + + + + + + +

supply chain personnel with whom to coordinate the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes is/are defined;

+ + + + + + + +

supply chain controls employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events are defined;

+ + + + + + + + + + + + +

the document identifying the selected and implemented supply chain processes and controls is defined (if selected);

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of in coordination with ;

+ + + +

Employ the following controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: ; and

+ + + +

Document the selected and implemented supply chain processes and controls in .

+ + + +

Supply chain elements include organizations, entities, or tools employed for the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of systems and system components. Supply chain processes include hardware, software, and firmware development processes; shipping and handling procedures; personnel security and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the development, acquisition, maintenance and disposal of systems and system components. Supply chain elements and processes may be provided by organizations, system integrators, or external providers. Weaknesses or deficiencies in supply chain elements or processes represent potential vulnerabilities that can be exploited by adversaries to cause harm to the organization and affect its ability to carry out its core missions or business functions. Supply chain personnel are individuals with roles and responsibilities in the supply chain.

+ + + + + + + +

a process or processes is/are established to identify and address weaknesses or deficiencies in the supply chain elements and processes of ;

+ + + + +

the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of is/are coordinated with ;

+ + + + + + +

are employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events;

+ + + + +

the selected and implemented supply chain processes and controls are documented in .

+ + + + + + + + +

Supply chain risk management policy

+

supply chain risk management procedures

+

supply chain risk management strategy

+

supply chain risk management plan

+

systems and critical system components inventory documentation

+

system and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing the integration of information security and privacy requirements into the acquisition process

+

solicitation documentation

+

acquisition documentation (including purchase orders)

+

service level agreements

+

acquisition contracts for systems or services

+

risk register documentation

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for identifying and addressing supply chain element and process deficiencies

+ + + + Diverse Supply Base + + + + + + + + + +

system components with a diverse set of sources are defined;

+ + + + + + +

services with a diverse set of sources are defined;

+ + + + + + + + + + +

Employ a diverse set of sources for the following system components and services: .

+ + +

Diversifying the supply of systems, system components, and services can reduce the probability that adversaries will successfully identify and target the supply chain and can reduce the impact of a supply chain event or compromise. Identifying multiple suppliers for replacement components can reduce the probability that the replacement component will become unavailable. Employing a diverse set of developers or logistics service providers can reduce the impact of a natural disaster or other supply chain event. Organizations consider designing the system to include diverse materials and components.

+ + + + + +

a diverse set of sources is employed for ;

+ + + + +

a diverse set of sources is employed for .

+ + + + + + + + +

Supply chain risk management policy and procedures

+

system and services acquisition policy

+

planning policy

+

procedures addressing supply chain protection

+

physical inventory of critical systems and system components

+

inventory of critical suppliers, service providers, developers, and contracts

+

inventory records of critical system components

+

list of security safeguards ensuring an adequate supply of critical system components

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain protection responsibilities

+ + + + + + +

Organizational processes for defining and employing security safeguards to ensure an adequate supply of critical system components

+

processes to identify critical suppliers

+

mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical system components

+ + + + + Limitation of Harm + + + + + +

controls to limit harm from potential supply chain adversaries are defined;

+ + + + + + + + + + +

Employ the following controls to limit harm from potential adversaries identifying and targeting the organizational supply chain: .

+ + +

Controls that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include avoiding the purchase of custom or non-standardized configurations, employing approved vendor lists with standing reputations in industry, following pre-agreed maintenance schedules and update and patch delivery mechanisms, maintaining a contingency plan in case of a supply chain event, using procurement carve-outs that provide exclusions to commitments or obligations, using diverse delivery routes, and minimizing the time between purchase decisions and delivery.

+ + + +

are employed to limit harm from potential adversaries identifying and targeting the organizational supply chain.

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

configuration management policy

+

procedures addressing supply chain protection

+

procedures addressing the integration of information security requirements into the acquisition process

+

procedures addressing the baseline configuration of the system

+

configuration management plan

+

system design documentation

+

system architecture and associated configuration documentation

+

solicitation documentation

+

acquisition documentation

+

acquisition contracts for the system, system component, or system service

+

threat assessments

+

vulnerability assessments

+

list of security safeguards to be taken to protect the organizational supply chain against potential supply chain threats

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain

+

mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain

+ + + + + Sub-tier Flow Down + + + + + + + + + + +

Ensure that the controls included in the contracts of prime contractors are also included in the contracts of subcontractors.

+ + +

To manage supply chain risk effectively and holistically, it is important that organizations ensure that supply chain risk management controls are included at all tiers in the supply chain. This includes ensuring that Tier 1 (prime) contractors have implemented processes to facilitate the flow down of supply chain risk management controls to sub-tier contractors. The controls subject to flow down are identified in SR-3b.

+ + + +

the controls included in the contracts of prime contractors are also included in the contracts of subcontractors.

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

inter-organizational agreements and procedures

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities

+ + + + + + Provenance + + + + + +

systems, system components, and associated data that require valid provenance are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + +

Document, monitor, and maintain valid provenance of the following systems, system components, and associated data: .

+ + +

Every system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures (see SR-1 ) for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and system components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations have methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. These actions help track, assess, and document any changes to the provenance, including changes in supply chain elements or configuration, and help ensure non-repudiation of provenance information and the provenance change records. Provenance considerations are addressed throughout the system development life cycle and incorporated into contracts and other arrangements, as appropriate.

+ + + + + +

valid provenance is documented for ;

+ + + + +

valid provenance is monitored for ;

+ + + + +

valid provenance is maintained for .

+ + + + + + + + +

Supply chain risk management policy

+

supply chain risk management procedures

+

supply chain risk management plan

+

documentation of critical systems, critical system components, and associated data

+

documentation showing the history of ownership, custody, and location of and changes to critical systems or critical system components

+

system architecture

+

inter-organizational agreements and procedures

+

contracts

+

system security plan

+

privacy plan

+

personally identifiable information processing policy

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for identifying the provenance of critical systems and critical system components

+

mechanisms used to document, monitor, or maintain provenance

+ + + + Identity + + + + + + +

supply chain elements, processes, and personnel associated with systems and critical system components that require unique identification are defined;

+ + + + + + + + + + + + + +

Establish and maintain unique identification of the following supply chain elements, processes, and personnel associated with the identified system and critical system components: .

+ + +

Knowing who and what is in the supply chains of organizations is critical to gaining visibility into supply chain activities. Visibility into supply chain activities is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility into supply chains elements, processes, and personnel, it is very difficult for organizations to understand and manage risk and reduce their susceptibility to adverse events. Supply chain elements include organizations, entities, or tools used for the research and development, design, manufacturing, acquisition, delivery, integration, operations, maintenance, and disposal of systems and system components. Supply chain processes include development processes for hardware, software, and firmware; shipping and handling procedures; configuration management tools, techniques, and measures to maintain provenance; personnel and physical security programs; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities related to the secure the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of a system or system component. Identification methods are sufficient to support an investigation in case of a supply chain change (e.g. if a supply company is purchased), compromise, or event.

+ + + + + +

unique identification of is established;

+ + + + +

unique identification of is maintained.

+ + + + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

procedures addressing the integration of information security requirements into the acquisition process

+

list of supply chain elements, processes, and actors (associated with the system, system component, or system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques, and/or configurations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain protection responsibilities

+

organizational personnel with responsibilities for establishing and retaining the unique identification of supply chain elements, processes, and actors

+ + + + + + +

Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors

+

mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors

+ + + + + Track and Trace + + + + + +

systems and critical system components that require unique identification for tracking through the supply chain are defined;

+ + + + + + + + + + + + + + +

Establish and maintain unique identification of the following systems and critical system components for tracking through the supply chain: .

+ + +

Tracking the unique identification of systems and system components during development and transport activities provides a foundational identity structure for the establishment and maintenance of provenance. For example, system components may be labeled using serial numbers or tagged using radio-frequency identification tags. Labels and tags can help provide better visibility into the provenance of a system or system component. A system or system component may have more than one unique identifier. Identification methods are sufficient to support a forensic investigation after a supply chain compromise or event.

+ + + + + +

the unique identification of is established for tracking through the supply chain;

+ + + + +

the unique identification of is maintained for tracking through the supply chain.

+ + + + + + + + +

Supply chain risk management policy and procedures

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

procedures addressing the integration of information security requirements into the acquisition process

+

supply chain risk management plan

+

list of supply chain elements, processes, and actors (associated with the system, system component, or system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques, and/or configurations

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain protection responsibilities

+

organizational personnel with responsibilities for establishing and retaining the unique identification of supply chain elements, processes, and actors

+ + + + + + +

Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors

+

mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors

+ + + + + Validate as Genuine and Not Altered + + + + + + + + + +

controls to validate that the system or system component received is genuine are defined;

+ + + + + + +

controls to validate that the system or system component received has not been altered are defined;

+ + + + + + + + + + + + + + +

Employ the following controls to validate that the system or system component received is genuine and has not been altered: .

+ + +

For many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including optical and nanotechnology tagging, physically unclonable functions, side-channel analysis, cryptographic hash verifications or digital signatures, and visible anti-tamper labels or stickers. Controls can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Organizations may leverage supplier and contractor processes for validating that a system or component is genuine and has not been altered and for replacing a suspect system or component. Some indications of tampering may be visible and addressable before accepting delivery, such as inconsistent packaging, broken seals, and incorrect labels. When a system or system component is suspected of being altered or counterfeit, the supplier, contractor, or original equipment manufacturer may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item. Organizations can provide training to personnel on how to identify suspicious system or component deliveries.

+ + + + + +

are employed to validate that the system or system component received is genuine;

+ + + + +

are employed to validate that the system or system component received has not been altered.

+ + + + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

procedures addressing the security design principle of trusted components used in the specification, design, development, implementation, and modification of the system

+

system design documentation

+

procedures addressing the integration of information security requirements into the acquisition process

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

evidentiary documentation (including applicable configurations) indicating that the system or system component is genuine and has not been altered

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for defining and employing validation safeguards

+

mechanisms supporting and/or implementing the definition and employment of validation safeguards

+

mechanisms supporting the application of the security design principle of trusted components in system specification, design, development, implementation, and modification

+ + + + + Supply Chain Integrity — Pedigree + + + + + +

controls employed to ensure that the integrity of the system and system component are defined;

+ + + + + + + + +

an analysis method to be conducted to validate the internal composition and provenance of critical or mission-essential technologies, products, and services to ensure the integrity of the system and system component is defined;

+ + + + + + + + + + + +

Employ and conduct to ensure the integrity of the system and system components by validating the internal composition and provenance of critical or mission-essential technologies, products, and services.

+ + +

Authoritative information regarding the internal composition of system components and the provenance of technology, products, and services provides a strong basis for trust. The validation of the internal composition and provenance of technologies, products, and services is referred to as the pedigree. For microelectronics, this includes material composition of components. For software this includes the composition of open-source and proprietary code, including the version of the component at a given point in time. Pedigrees increase the assurance that the claims suppliers assert about the internal composition and provenance of the products, services, and technologies they provide are valid. The validation of the internal composition and provenance can be achieved by various evidentiary artifacts or records that manufacturers and suppliers produce during the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of technology, products, and services. Evidentiary artifacts include, but are not limited to, software identification (SWID) tags, software component inventory, the manufacturers’ declarations of platform attributes (e.g., serial numbers, hardware component inventory), and measurements (e.g., firmware hashes) that are tightly bound to the hardware itself.

+ + + + + +

are employed to ensure the integrity of the system and system components;

+ + + + +

is conducted to ensure the integrity of the system and system components.

+ + + + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

bill of materials for critical systems or system components

+

acquisition documentation

+

software identification tags

+

manufacturer declarations of platform attributes (e.g., serial numbers, hardware component inventory) and measurements (e.g., firmware hashes) that are tightly bound to the hardware itself

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for identifying pedigree information

+

organizational processes to determine and validate the integrity of the internal composition of critical systems and critical system components

+

mechanisms to determine and validate the integrity of the internal composition of critical systems and critical system components

+ + + + + + Acquisition Strategies, Tools, and Methods + + + + + + +

acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks are defined;

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

Employ the following acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks: .

+ + +

The use of the acquisition process provides an important vehicle to protect the supply chain. There are many useful tools and techniques available, including obscuring the end use of a system or system component, using blind or filtered buys, requiring tamper-evident packaging, or using trusted or controlled distribution. The results from a supply chain risk assessment can guide and inform the strategies, tools, and methods that are most applicable to the situation. Tools and techniques may provide protections against unauthorized production, theft, tampering, insertion of counterfeits, insertion of malicious software or backdoors, and poor development practices throughout the system development life cycle. Organizations also consider providing incentives for suppliers who implement controls, promote transparency into their processes and security and privacy practices, provide contract language that addresses the prohibition of tainted or counterfeit components, and restrict purchases from untrustworthy suppliers. Organizations consider providing training, education, and awareness programs for personnel regarding supply chain risk, available mitigation strategies, and when the programs should be employed. Methods for reviewing and protecting development plans, documentation, and evidence are commensurate with the security and privacy requirements of the organization. Contracts may specify documentation protection requirements.

+ + + + + +

are employed to protect against supply chain risks;

+ + + + +

are employed to identify supply chain risks;

+ + + + +

are employed to mitigate supply chain risks.

+ + + + + + + + +

Supply chain risk management policy

+

supply chain risk management procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing supply chain protection

+

procedures addressing the integration of information security and privacy requirements into the acquisition process

+

solicitation documentation

+

acquisition documentation (including purchase orders)

+

service level agreements

+

acquisition contracts for systems, system components, or services

+

documentation of training, education, and awareness programs for personnel regarding supply chain risk

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods

+

mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods

+ + + + Adequate Supply + + + + + +

controls to ensure an adequate supply of critical system components are defined;

+ + + + + + + +

critical system components of which an adequate supply is required are defined;

+ + + + + + + + + + + +

Employ the following controls to ensure an adequate supply of : .

+ + +

Adversaries can attempt to impede organizational operations by disrupting the supply of critical system components or corrupting supplier operations. Organizations may track systems and component mean time to failure to mitigate the loss of temporary or permanent system function. Controls to ensure that adequate supplies of critical system components include the use of multiple suppliers throughout the supply chain for the identified critical components, stockpiling spare components to ensure operation during mission-critical times, and the identification of functionally identical or similar components that may be used, if necessary.

+ + + +

are employed to ensure an adequate supply of .

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management strategy

+

supply chain risk management plan

+

contingency planning documents

+

inventory of critical systems and system components

+

determination of adequate supply

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

procedures addressing the integration of information security requirements into the acquisition process

+

procedures addressing the integration of acquisition strategies, contract tools, and procurement methods into the acquisition process

+

solicitation documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for systems or services

+

purchase orders/requisitions for the system, system component, or system service from suppliers

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods

+

mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods

+ + + + + Assessments Prior to Selection, Acceptance, Modification, or Update + + + + + + + + + + + + +

Assess the system, system component, or system service prior to selection, acceptance, modification, or update.

+ + +

Organizational personnel or independent, external entities conduct assessments of systems, components, products, tools, and services to uncover evidence of tampering, unintentional and intentional vulnerabilities, or evidence of non-compliance with supply chain controls. These include malicious code, malicious processes, defective software, backdoors, and counterfeits. Assessments can include evaluations; design proposal reviews; visual or physical inspection; static and dynamic analyses; visual, x-ray, or magnetic particle inspections; simulations; white, gray, or black box testing; fuzz testing; stress testing; and penetration testing (see SR-6(1) ). Evidence generated during assessments is documented for follow-on actions by organizations. The evidence generated during the organizational or independent assessments of supply chain elements may be used to improve supply chain processes and inform the supply chain risk management process. The evidence can be leveraged in follow-on assessments. Evidence and other documentation may be shared in accordance with organizational agreements.

+ + + + + +

the system, system component, or system service is assessed prior to selection;

+ + + + +

the system, system component, or system service is assessed prior to acceptance;

+ + + + +

the system, system component, or system service is assessed prior to modification;

+ + + + +

the system, system component, or system service is assessed prior to update.

+ + + + + + + + +

System security plan

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

procedures addressing the integration of information security requirements into the acquisition process

+

security test and evaluation results

+

vulnerability assessment results

+

penetration testing results

+

organizational risk assessment results

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain protection responsibilities

+ + + + + + +

Organizational processes for conducting assessments prior to selection, acceptance, or update

+

mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update

+ + + + + + Supplier Assessments and Reviews + + + + + +

the frequency at which to assess and review the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide is defined;

+ + + + + + + + + + + + + + + + + + + + + + + + +

Assess and review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide .

+ + +

An assessment and review of supplier risk includes security and supply chain risk management processes, foreign ownership, control or influence (FOCI), and the ability of the supplier to effectively assess subordinate second-tier and third-tier suppliers and contractors. The reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, all-source intelligence, and publicly available information related to the supplier or contractor. Organizations can use open-source information to monitor for indications of stolen information, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate or required to share assessment and review results with other organizations in accordance with any applicable rules, policies, or inter-organizational agreements or contracts.

+ + + +

the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide are assessed and reviewed .

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management strategy

+

supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

procedures addressing the integration of information security requirements into the acquisition process

+

records of supplier due diligence reviews

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain protection responsibilities

+ + + + + + +

Organizational processes for conducting supplier reviews

+

mechanisms supporting and/or implementing supplier reviews

+ + + + Testing and Analysis + + + + + + + + + + +

supply chain elements, processes, and actors to be analyzed and tested are defined;

+ + + + + + + + + + + + +

Employ of the following supply chain elements, processes, and actors associated with the system, system component, or system service: .

+ + +

Relationships between entities and procedures within the supply chain, including development and delivery, are considered. Supply chain elements include organizations, entities, or tools that are used for the research and development, design, manufacturing, acquisition, delivery, integration, operations, maintenance, and disposal of systems, system components, or system services. Supply chain processes include supply chain risk management programs; SCRM strategies and implementation plans; personnel and physical security programs; hardware, software, and firmware development processes; configuration management tools, techniques, and measures to maintain provenance; shipping and handling procedures; and programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated and collected during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.

+ + + +

is/are employed on associated with the system, system component, or system service.

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

evidence of organizational analysis, independent third-party analysis, organizational penetration testing, and/or independent third-party penetration testing

+

list of supply chain elements, processes, and actors (associated with the system, system component, or system service) subject to analysis and/or testing

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+

organizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors

+ + + + + + +

Organizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors

+

mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors

+ + + + + + Supply Chain Operations Security + + + + + + +

Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service are defined;

+ + + + + + + + + + + + + + + +

Employ the following Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service: .

+ + +

Supply chain OPSEC expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process that includes identifying critical information, analyzing friendly actions related to operations and other activities to identify actions that can be observed by potential adversaries, determining indicators that potential adversaries might obtain that could be interpreted or pieced together to derive information in sufficient time to cause harm to organizations, implementing safeguards or countermeasures to eliminate or reduce exploitable vulnerabilities and risk to an acceptable level, and considering how aggregated information may expose users or specific uses of the supply chain. Supply chain information includes user identities; uses for systems, system components, and system services; supplier identities; security and privacy requirements; system and component configurations; supplier processes; design specifications; and testing and evaluation results. Supply chain OPSEC may require organizations to withhold mission or business information from suppliers and may include the use of intermediaries to hide the end use or users of systems, system components, or system services.

+ + + +

are employed to protect supply chain-related information for the system, system component, or system service.

+ + + + + + +

Supply chain risk management plan

+

supply chain risk management procedures

+

system and services acquisition policy

+

system and services acquisition procedures

+

procedures addressing supply chain protection

+

list of OPSEC controls to be employed

+

solicitation documentation

+

acquisition documentation

+

acquisition contracts for the system, system component, or system service

+

records of all-source intelligence analyses

+

system security plan

+

privacy plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with acquisition responsibilities

+

organizational personnel with information security and privacy responsibilities

+

organizational personnel with OPSEC responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for defining and employing OPSEC safeguards

+

mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards

+ + + + + Notification Agreements + + + + + + + + + + + +

information for which agreements and procedures are to be established are defined (if selected);

+ + + + + + + + + + + + + + + + + + + +

Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the .

+ + +

The establishment of agreements and procedures facilitates communications among supply chain entities. Early notification of compromises and potential compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems or system components is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes.

+ + + +

agreements and procedures are established with entities involved in the supply chain for the system, system components, or system service for .

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

inter-organizational agreements and procedures

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities

+ + + + + Tamper Resistance and Detection + + + + + + + + + + + + + + + + + + +

Implement a tamper protection program for the system, system component, or system service.

+ + +

Anti-tamper technologies, tools, and techniques provide a level of protection for systems, system components, and services against many threats, including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use.

+ + + +

a tamper protection program is implemented for the system, system component, or system service.

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing supply chain protection

+

procedures addressing tamper resistance and detection

+

tamper protection program documentation

+

tamper protection tools and techniques documentation

+

tamper resistance and detection tools and techniques documentation

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with tamper protection program responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for the implementation of the tamper protection program

+

mechanisms supporting and/or implementing the tamper protection program

+ + + + Multiple Stages of System Development Life Cycle + + + + + + + + + +

Employ anti-tamper technologies, tools, and techniques throughout the system development life cycle.

+ + +

The system development life cycle includes research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal. Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations use obfuscation and self-checking to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. The customization of systems and system components can make substitutions easier to detect and therefore limit damage.

+ + + +

anti-tamper technologies, tools, and techniques are employed throughout the system development life cycle.

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

procedures addressing tamper resistance and detection

+

tamper protection program documentation

+

tamper protection tools and techniques documentation

+

tamper resistance and detection tools (technologies) and techniques documentation

+

system development life cycle documentation

+

procedures addressing supply chain protection

+

system development life cycle procedures

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

inter-organizational agreements and procedures

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+

organizational personnel with SDLC responsibilities

+ + + + + + +

Organizational processes for employing anti-tamper technologies

+

mechanisms supporting and/or implementing anti-tamper technologies

+ + + + + + Inspection of Systems or Components + + + + + +

systems or system components that require inspection are defined;

+ + + + + + + + + + + + +

frequency at which to inspect systems or system components is defined (if selected);

+ + + + + + + +

indications of the need for an inspection of systems or system components are defined (if selected);

+ + + + + + + + + + + + + + + + + + + +

Inspect the following systems or system components to detect tampering: .

+ + +

The inspection of systems or systems components for tamper resistance and detection addresses physical and logical tampering and is applied to systems and system components removed from organization-controlled areas. Indications of a need for inspection include changes in packaging, specifications, factory location, or entity in which the part is purchased, and when individuals return from travel to high-risk locations.

+ + + +

are inspected to detect tampering.

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

records of random inspections

+

inspection reports/results

+

assessment reports/results

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

inter-organizational agreements and procedures

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities

+

organizational processes to inspect for tampering

+ + + + + Component Authenticity + + + + + + + + + + +

external reporting organizations to whom counterfeit system components are to be reported is/are defined (if selected);

+ + + + + + + +

personnel or roles to whom counterfeit system components are to be reported is/are defined (if selected);

+ + + + + + + + + + + + + + + + + +

Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and

+ + + +

Report counterfeit system components to .

+ + + +

Sources of counterfeit components include manufacturers, developers, vendors, and contractors. Anti-counterfeiting policies and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include CISA.

+ + + + + + + +

an anti-counterfeit policy is developed and implemented;

+ + + + +

anti-counterfeit procedures are developed and implemented;

+ + + + +

the anti-counterfeit procedures include the means to detect counterfeit components entering the system;

+ + + + +

the anti-counterfeit procedures include the means to prevent counterfeit components from entering the system;

+ + + + + + +

counterfeit system components are reported to .

+ + + + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

anti-counterfeit plan

+

anti-counterfeit policy and procedures

+

media disposal policy

+

media protection policy

+

incident response policy

+

reports notifying developers, manufacturers, vendors, contractors, and/or external reporting organizations of counterfeit system components

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system, system component, or system service

+

inter-organizational agreements and procedures

+

records of reported counterfeit system components

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and service acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+

organizational personnel with responsibilities for anti-counterfeit policies, procedures, and reporting

+ + + + + + +

Organizational processes for counterfeit prevention, detection, and reporting

+

mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting

+ + + + Anti-counterfeit Training + + + + + +

personnel or roles requiring training to detect counterfeit system components (including hardware, software, and firmware) is/are defined;

+ + + + + + + + + + + +

Train to detect counterfeit system components (including hardware, software, and firmware).

+ + +

None.

+ + + +

are trained to detect counterfeit system components (including hardware, software, and firmware).

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

system and services acquisition policy

+

anti-counterfeit plan

+

anti-counterfeit policy and procedures

+

media disposal policy

+

media protection policy

+

incident response policy

+

training materials addressing counterfeit system components

+

training records on the detection and prevention of counterfeit components entering the system

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+

organizational personnel with responsibilities for anti-counterfeit policies, procedures, and training

+ + + + + + +

Organizational processes for anti-counterfeit training

+ + + + + Configuration Control for Component Service and Repair + + + + + +

system components requiring configuration control are defined;

+ + + + + + + + + + + + + + +

Maintain configuration control over the following system components awaiting service or repair and serviced or repaired components awaiting return to service: .

+ + +

None.

+ + + + + +

configuration control over awaiting service or repair is maintained;

+ + + + +

configuration control over serviced or repaired awaiting return to service is maintained.

+ + + + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

configuration control procedures

+

acquisition documentation

+

service level agreements

+

acquisition contracts for the system component

+

inter-organizational agreements and procedures

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+ + + + + + +

Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities

+

organizational configuration control processes

+ + + + + Anti-counterfeit Scanning + + + + + +

the frequency at which to scan for counterfeit system components is defined;

+ + + + + + + + + + + +

Scan for counterfeit system components .

+ + +

The type of component determines the type of scanning to be conducted (e.g., web application scanning if the component is a web application).

+ + + +

scanning for counterfeit system components is conducted .

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

anti-counterfeit policy and procedures

+

system design documentation

+

system configuration settings and associated documentation

+

scanning tools and associated documentation

+

scanning results

+

procedures addressing supply chain protection

+

acquisition documentation

+

inter-organizational agreements and procedures

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system and services acquisition responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain risk management responsibilities

+

organizational personnel with responsibilities for anti-counterfeit policies and procedures

+

organizational personnel with responsibility for anti-counterfeit scanning

+ + + + + + +

Organizational processes for scanning for counterfeit system components

+

mechanisms supporting and/or implementing anti-counterfeit scanning

+ + + + + + Component Disposal + + + + + +

data, documentation, tools, or system components to be disposed of are defined;

+ + + + + + + +

techniques and methods for disposing of data, documentation, tools, or system components are defined;

+ + + + + + + + + + +

Dispose of using the following techniques and methods: .

+ + +

Data, documentation, tools, or system components can be disposed of at any time during the system development life cycle (not only in the disposal or retirement phase of the life cycle). For example, disposal can occur during research and development, design, prototyping, or operations/maintenance and include methods such as disk cleaning, removal of cryptographic keys, partial reuse of components. Opportunities for compromise during disposal affect physical and logical data, including system documentation in paper-based or digital files; shipping and delivery documentation; memory sticks with software code; or complete routers or servers that include permanent media, which contain sensitive or proprietary information. Additionally, proper disposal of system components helps to prevent such components from entering the gray market.

+ + + +

are disposed of using .

+ + + + + + +

Supply chain risk management policy and procedures

+

supply chain risk management plan

+

disposal procedures addressing supply chain protection

+

media disposal policy

+

media protection policy

+

disposal records for system components

+

documentation of the system components identified for disposal

+

documentation of the disposal techniques and methods employed for system components

+

system security plan

+

other relevant documents or records

+ + + + + + +

Organizational personnel with system component disposal responsibilities

+

organizational personnel with information security responsibilities

+

organizational personnel with supply chain protection responsibilities

+ + + + + + +

Organizational techniques and methods for system component disposal

+

mechanisms supporting and/or implementing system component disposal

+ + + + + + + 32 CFR 2002 + + Code of Federal Regulations, Title 32, Controlled Unclassified Information (32 C.F.R. 2002). + + + + + 41 CFR 201 + + Federal Acquisition Supply Chain Security Act; Rule, 85 Federal Register 54263 (September 1, 2020), pp 54263-54271. + + + + + 5 CFR 731 + + Code of Federal Regulations, Title 5, Administrative Personnel , Section 731.106, Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. 731.106). + + + + + ATOM54 + + Atomic Energy Act (P.L. 83-703), August 1954. + + + + + CMPPA + + Computer Matching and Privacy Protection Act of 1988 (P.L. 100-503), October 1988. + + + + + CNSSD 505 + + Committee on National Security Systems Directive No. 505, Supply Chain Risk Management (SCRM) , August 2017. + + + + + CNSSI 1253 + + Committee on National Security Systems Instruction No. 1253, Security Categorization and Control Selection for National Security Systems , March 2014. + + + + + CNSSI 4009 + + Committee on National Security Systems Instruction No. 4009, Committee on National Security Systems (CNSS) Glossary , April 2015. + + + + + CNSSP 22 + + Committee on National Security Systems Policy No. 22, Cybersecurity Risk Management Policy , August 2016. + + + + + DHS NIPP + + Department of Homeland Security, National Infrastructure Protection Plan (NIPP) , 2009. + + + + + DHS TIC + + Department of Homeland Security, Trusted Internet Connections (TIC). + + + + + DOD STIG + + Defense Information Systems Agency, Security Technical Implementation Guides (STIG). + + + + + DODI 8510.01 + + Department of Defense Instruction 8510.01, Risk Management Framework (RMF) for DoD Information Technology (IT) , March 2014. + + + + + DODTERMS + + Department of Defense, Dictionary of Military and Associated Terms. + + + + + DSB 2017 + + Department of Defense, Defense Science Board, Task Force on Cyber Deterrence , February 2017. + + + + + EGOV + + E-Government Act [includes FISMA] (P.L. 107-347), December 2002. + + + + + EO 13526 + + Executive Order 13526, Classified National Security Information , December 2009. + + + + + EO 13556 + + Executive Order 13556, Controlled Unclassified Information , November 2010. + + + + + EO 13587 + + Executive Order 13587, Structural Reforms to Improve the Security of Classified Networks and the Responsible Sharing and Safeguarding of Classified Information , October 2011. + + + + + EO 13636 + + Executive Order 13636, Improving Critical Infrastructure Cybersecurity , February 2013. + + + + + EO 13800 + + Executive Order 13800, Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure , May 2017. + + + + + EO 13873 + + Executive Order 13873, Executive Order on Securing the Information and Communications Technology and Services Supply Chain , May 2019. + + + + + EVIDACT + + Foundations for Evidence-Based Policymaking Act of 2018 (P.L. 115-435), January 2019. + + + + + FASC18 + + Secure Technology Act [includes Federal Acquisition Supply Chain Security Act] (P.L. 115-390), December 2018. + + + + + FED PKI + + General Services Administration, Federal Public Key Infrastructure. + + + + + FIPS 140-3 + + National Institute of Standards and Technology (2019) Security Requirements for Cryptographic Modules. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 140-3. + + + + + FIPS 180-4 + + National Institute of Standards and Technology (2015) Secure Hash Standard (SHS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 180-4. + + + + + FIPS 186-4 + + National Institute of Standards and Technology (2013) Digital Signature Standard (DSS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 186-4. + + + + + FIPS 196 + + National Institute of Standards and Technology (1997) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 196. + + + + + FIPS 197 + + National Institute of Standards and Technology (2001) Advanced Encryption Standard (AES). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 197. + + + + + FIPS 198-1 + + National Institute of Standards and Technology (2008) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 198-1. + + + + + FIPS 199 + + National Institute of Standards and Technology (2004) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 199. + + + + + FIPS 200 + + National Institute of Standards and Technology (2006) Minimum Security Requirements for Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 200. + + + + + FIPS 201-2 + + National Institute of Standards and Technology (2013) Personal Identity Verification (PIV) of Federal Employees and Contractors. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 201-2. + + + + + FIPS 202 + + National Institute of Standards and Technology (2015) SHA-3 Standard: Permutation-Based Hash and Extendable-Output Functions. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 202. + + + + + FISMA IMP + + Federal Information Security Modernization Act (FISMA) Implementation Project. + + + + + FISMA + + Federal Information Security Modernization Act (P.L. 113-283), December 2014. + + + + + FOIA96 + + Freedom of Information Act (FOIA), 5 U.S.C. § 552, As Amended By Public Law No. 104-231, 110 Stat. 3048, Electronic Freedom of Information Act Amendments of 1996. + + + + + HSPD 12 + + Homeland Security Presidential Directive 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 2004. + + + + + HSPD 7 + + Homeland Security Presidential Directive 7, Critical Infrastructure Identification, Prioritization, and Protection , December 2003. + + + + + IETF 4949 + + Internet Engineering Task Force (IETF), Request for Comments: 4949, Internet Security Glossary, Version 2 , August 2007. + + + + + IETF 5905 + + Internet Engineering Task Force (IETF), Request for Comments: 5905, Network Time Protocol Version 4: Protocol and Algorithms Specification , June 2010. + + + + + IR 7539 + + Cooper DA, MacGregor WI (2008) Symmetric Key Injection onto Smart Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7539. + + + + + IR 7559 + + Singhal A, Gunestas M, Wijesekera D (2010) Forensics Web Services (FWS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7559. + + + + + IR 7622 + + Boyens JM, Paulsen C, Bartol N, Shankles S, Moorthy R (2012) Notional Supply Chain Risk Management Practices for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7622. + + + + + IR 7676 + + Cooper DA (2010) Maintaining and Using Key History on Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7676. + + + + + IR 7788 + + Singhal A, Ou X (2011) Security Risk Analysis of Enterprise Networks Using Probabilistic Attack Graphs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7788. + + + + + IR 7817 + + Ferraiolo H (2012) A Credential Reliability and Revocation Model for Federated Identities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7817. + + + + + IR 7849 + + Chandramouli R (2014) A Methodology for Developing Authentication Assurance Level Taxonomy for Smart Card-based Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7849. + + + + + IR 7870 + + Cooper DA (2012) NIST Test Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7870. + + + + + IR 7874 + + Hu VC, Scarfone KA (2012) Guidelines for Access Control System Evaluation Metrics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7874. + + + + + IR 7956 + + Chandramouli R, Iorga M, Chokhani S (2013) Cryptographic Key Management Issues & Challenges in Cloud Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7956. + + + + + IR 7966 + + Ylonen T, Turner P, Scarfone KA, Souppaya MP (2015) Security of Interactive and Automated Access Management Using Secure Shell (SSH). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7966. + + + + + IR 8011-1 + + Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 1: Overview. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 1. + + + + + IR 8011-2 + + Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 2: Hardware Asset Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 2. + + + + + IR 8011-3 + + Dempsey KL, Eavy P, Goren N, Moore G (2018) Automation Support for Security Control Assessments: Volume 3: Software Asset Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 3. + + + + + IR 8011-4 + + Dempsey KL, Takamura E, Eavy P, Moore G (2020) Automation Support for Security Control Assessments: Volume 4: Software Vulnerability Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 4. + + + + + IR 8023 + + Dempsey KL, Paulsen C (2015) Risk Management for Replication Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8023. + + + + + IR 8040 + + Greene KK, Kelsey JM, Franklin JM (2016) Measuring the Usability and Security of Permuted Passwords on Mobile Platforms. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8040. + + + + + IR 8062 + + Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction to Privacy Engineering and Risk Management in Federal Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8062. + + + + + IR 8112 + + Grassi P, Lefkovitz N, Nadeau E, Galluzzo R, Dinh, A (2018) Attribute Metadata: A Proposed Schema for Evaluating Federated Attributes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8112. + + + + + IR 8179 + + Paulsen C, Boyens JM, Bartol N, Winkler K (2018) Criticality Analysis Process Model: Prioritizing Systems and Components. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8179. + + + + + IR 8272 + + Paulsen C, Winkler K, Boyens JM, Ng J, Gimbi J (2020) Impact Analysis Tool for Interdependent Cyber Supply Chain Risks. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8272. + + + + + ISO 15026-1 + + International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15026-1:2019, Systems and software engineering — Systems and software assurance — Part 1: Concepts and vocabulary , March 2019. + + + + + ISO 15288 + + International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15288:2015, Systems and software engineering —Systems life cycle processes , May 2015. + + + + + ISO 15408-1 + + International Organization for Standardization/International Electrotechnical Commission 15408-1:2009, Information technology —Security techniques — Evaluation criteria for IT security — Part 1: Introduction and general model , April 2017. + + + + + ISO 15408-2 + + International Organization for Standardization/International Electrotechnical Commission 15408-2:2008, Information technology —Security techniques — Evaluation criteria for IT security — Part 2: Security functional requirements , April 2017. + + + + + ISO 15408-3 + + International Organization for Standardization/International Electrotechnical Commission 15408-3:2008, Information technology—Security techniques — Evaluation criteria for IT security — Part 3: Security assurance requirements , April 2017. + + + + + ISO 20243 + + International Organization for Standardization/International Electrotechnical Commission 20243-1:2018, Information technology — Open Trusted Technology Provider™ Standard (O-TTPS) — Mitigating maliciously tainted and counterfeit products — Part 1: Requirements and recommendations , February 2018. + + + + + ISO 25237 + + International Organization for Standardization/International Electrotechnical Commission 25237:2017, Health informatics —Pseudonymization , January 2017. + + + + + ISO 27036 + + International Organization for Standardization/International Electrotechnical Commission 27036-1:2014, Information technology—Security techniques—Information security for supplier relationships, Part 1: Overview and concepts , April 2014. + + + + + ISO 29100 + + International Organization for Standardization/International Electrotechnical Commission 29100:2011, Information technology—Security techniques—Privacy framework , December 2011. + + + + + ISO 29147 + + International Organization for Standardization/International Electrotechnical Commission 29147:2018, Information technology—Security techniques—Vulnerability disclosure , October 2018. + + + + + ISO 29148 + + International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 29148:2018, Systems and software engineering—Life cycle processes—Requirements engineering , November 2018. + + + + + LAMPSON73 + + B. W. Lampson, A Note on the Confinement Problem , Communications of the ACM 16, 10, pp. 613-615, October 1973. + + + + + NARA CUI + + National Archives and Records Administration, Controlled Unclassified Information (CUI) Registry. + + + + + NCPR + + National Institute of Standards and Technology (2020) National Checklist Program Repository . Available at + + + + + NEUM04 + + Principled Assuredly Trustworthy Composable Architectures , P. Neumann, CDRL A001 Final Report, SRI International, December 2004. + + + + + NIAP CCEVS + + National Information Assurance Partnership, Common Criteria Evaluation and Validation Scheme. + + + + + NIST CAVP + + National Institute of Standards and Technology (2020) Cryptographic Algorithm Validation Program . Available at + + + + + NIST CMVP + + National Institute of Standards and Technology (2020) Cryptographic Module Validation Program . Available at + + + + + NIST CSF + + National Institute of Standards and Technology (2018) Framework for Improving Critical Infrastructure Cybersecurity, Version 1.1. (National Institute of Standards and Technology, Gaithersburg, MD). + + + + + NIST PF + + National Institute of Standards and Technology (2020) Privacy Framework: A Tool for Improving Privacy through Enterprise Risk Management, Version 1.0. (National Institute of Standards and Technology, Gaithersburg, MD). + + + + + NITP12 + + Presidential Memorandum for the Heads of Executive Departments and Agencies, National Insider Threat Policy and Minimum Standards for Executive Branch Insider Threat Programs , November 2012. + + + + + NSA CSFC + + National Security Agency, Commercial Solutions for Classified Program (CSfC). + + + + + NSA MEDIA + + National Security Agency, Media Destruction Guidance. + + + + + NVD 800-53 + + National Institute of Standards and Technology (2020) National Vulnerability Database: NIST Special Publication 800-53 [database of controls]. Available at + + + + + ODNI CTF + + Office of the Director of National Intelligence (ODNI) Cyber Threat Framework. + + + + + ODNI NITP + + Office of the Director National Intelligence, National Insider Threat Policy + + + + + OMB A-108 + + Office of Management and Budget Memorandum Circular A-108, Federal Agency Responsibilities for Review, Reporting, and Publication under the Privacy Act , December 2016. + + + + + OMB A-130 + + Office of Management and Budget Memorandum Circular A-130, Managing Information as a Strategic Resource , July 2016. + + + + + OMB M-03-22 + + Office of Management and Budget Memorandum M-03-22, OMB Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002 , September 2003. https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf + + + + + OMB M-08-05 + + Office of Management and Budget Memorandum M-08-05, Implementation of Trusted Internet Connections (TIC) , November 2007. + + + + + OMB M-17-06 + + Office of Management and Budget Memorandum M-17-06, Policies for Federal Agency Public Websites and Digital Services , November 2016. + + + + + OMB M-17-12 + + Office of Management and Budget Memorandum M-17-12, Preparing for and Responding to a Breach of Personally Identifiable Information , January 2017. + + + + + OMB M-17-25 + + Office of Management and Budget Memorandum M-17-25, Reporting Guidance for Executive Order on Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure , May 2017. + + + + + OMB M-19-03 + + Office of Management and Budget Memorandum M-19-03, Strengthening the Cybersecurity of Federal Agencies by Enhancing the High Value Asset Program , December 2018. + + + + + OMB M-19-15 + + Office of Management and Budget Memorandum M-19-15, Improving Implementation of the Information Quality Act , April 2019. + + + + + OMB M-19-23 + + Office of Management and Budget Memorandum M-19-23, Phase 1 Implementation of the Foundations for Evidence-Based Policymaking Act of 2018: Learning Agendas, Personnel, and Planning Guidance , July 2019. + + + + + POPEK74 + + G. Popek, The Principle of Kernel Design , in 1974 NCC, AFIPS Cong. Proc., Vol. 43, pp. 977-978. + + + + + PRIVACT + + Privacy Act (P.L. 93-579), December 1974. + + + + + SALTZER75 + + J. Saltzer and M. Schroeder, The Protection of Information in Computer Systems , in Proceedings of the IEEE 63(9), September 1975, pp. 1278-1308. + + + + + SP 800-100 + + Bowen P, Hash J, Wilson M (2006) Information Security Handbook: A Guide for Managers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-100, Includes updates as of March 7, 2007. + + + + + SP 800-101 + + Ayers RP, Brothers S, Jansen W (2014) Guidelines on Mobile Device Forensics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-101, Rev. 1. + + + + + SP 800-111 + + Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage Encryption Technologies for End User Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-111. + + + + + SP 800-113 + + Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-113. + + + + + SP 800-114 + + Souppaya MP, Scarfone KA (2016) User's Guide to Telework and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-114, Rev. 1. + + + + + SP 800-115 + + Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide to Information Security Testing and Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-115. + + + + + SP 800-116 + + Ferraiolo H, Mehta KL, Ghadiali N, Mohler J, Johnson V, Brady S (2018) A Recommendation for the Use of PIV Credentials in Physical Access Control Systems (PACS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-116, Rev. 1. + + + + + SP 800-121 + + Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R, Scarfone KA (2017) Guide to Bluetooth Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-121, Rev. 2. + + + + + SP 800-124 + + Souppaya MP, Scarfone KA (2013) Guidelines for Managing the Security of Mobile Devices in the Enterprise. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-124, Rev. 1. + + + + + SP 800-125B + + Chandramouli R (2016) Secure Virtual Network Configuration for Virtual Machine (VM) Protection. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-125B. + + + + + SP 800-126 + + Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018) The Technical Specification for the Security Content Automation Protocol (SCAP): SCAP Version 1.3. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-126, Rev. 3. + + + + + SP 800-128 + + Johnson LA, Dempsey KL, Ross RS, Gupta S, Bailey D (2011) Guide for Security-Focused Configuration Management of Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-128, Includes updates as of October 10, 2019. + + + + + SP 800-12 + + Nieles M, Pillitteri VY, Dempsey KL (2017) An Introduction to Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-12, Rev. 1. + + + + + SP 800-130 + + Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework for Designing Cryptographic Key Management Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-130. + + + + + SP 800-137A + + Dempsey KL, Pillitteri VY, Baer C, Niemeyer R, Rudman R, Urban S (2020) Assessing Information Security Continuous Monitoring (ISCM) Programs: Developing an ISCM Program Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137A. + + + + + SP 800-137 + + Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137. + + + + + SP 800-147 + + Cooper DA, Polk T, Regenscheid AR, Souppaya MP (2011) BIOS Protection Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-147. + + + + + SP 800-150 + + Johnson CS, Waltermire DA, Badger ML, Skorupka C, Snyder J (2016) Guide to Cyber Threat Information Sharing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-150. + + + + + SP 800-152 + + Barker EB, Branstad DK, Smid ME (2015) A Profile for U.S. Federal Cryptographic Key Management Systems (CKMS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-152. + + + + + SP 800-154 + + Souppaya MP, Scarfone KA (2016) Guide to Data-Centric System Threat Modeling. (National Institute of Standards and Technology, Gaithersburg, MD), Draft NIST Special Publication (SP) 800-154. + + + + + SP 800-156 + + Ferraiolo H, Chandramouli R, Mehta KL, Mohler J, Skordinski S, Brady S (2016) Representation of PIV Chain-of-Trust for Import and Export. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-156. + + + + + SP 800-160-1 + + Ross RS, Oren JC, McEvilley M (2016) Systems Security Engineering: Considerations for a Multidisciplinary Approach in the Engineering of Trustworthy Secure Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 1, Includes updates as of March 21, 2018. + + + + + SP 800-160-2 + + Ross RS, Pillitteri VY, Graubart R, Bodeau D, McQuaid R (2019) Developing Cyber Resilient Systems: A Systems Security Engineering Approach. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 2. + + + + + SP 800-161 + + Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk Management Practices for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-161. + + + + + SP 800-162 + + Hu VC, Ferraiolo DF, Kuhn R, Schnitzer A, Sandlin K, Miller R, Scarfone KA (2014) Guide to Attribute Based Access Control (ABAC) Definition and Considerations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-162, Includes updates as of August 2, 2019. + + + + + SP 800-166 + + Cooper DA, Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Brady S (2016) Derived PIV Application and Data Model Test Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-166. + + + + + SP 800-167 + + Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application Whitelisting. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-167. + + + + + SP 800-171 + + Ross RS, Pillitteri VY, Dempsey KL, Riddle M, Guissanie G (2020) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171, Rev. 2. + + + + + SP 800-172 + + Ross RS, Pillitteri VY, Graubart RD, Guissanie G, Wagner R, Bodeau D (2020) Enhanced Security Requirements for Protecting Controlled Unclassified Information: A Supplement to NIST Special Publication 800-171 (Final Public Draft). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-172. + + + + + SP 800-177 + + Rose SW, Nightingale S, Garfinkel SL, Chandramouli R (2019) Trustworthy Email. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-177, Rev. 1. + + + + + SP 800-178 + + Ferraiolo DF, Hu VC, Kuhn R, Chandramouli R (2016) A Comparison of Attribute Based Access Control (ABAC) Standards for Data Service Applications: Extensible Access Control Markup Language (XACML) and Next Generation Access Control (NGAC). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-178. + + + + + SP 800-181 + + Petersen R, Santos D, Smith MC, Wetzel KA, Witte G (2020) Workforce Framework for Cybersecurity (NICE Framework). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-181, Rev. 1. + + + + + SP 800-184 + + Bartock M, Scarfone KA, Smith MC, Witte GA, Cichonski JA, Souppaya MP (2016) Guide for Cybersecurity Event Recovery. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-184. + + + + + SP 800-188 + + Garfinkel S (2016) De-Identifying Government Datasets. (National Institute of Standards and Technology, Gaithersburg, MD), Second Draft NIST Special Publication (SP) 800-188. + + + + + SP 800-189 + + Sriram K, Montgomery D (2019) Resilient Interdomain Traffic Exchange: BGP Security and DDoS Mitigation. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-189. + + + + + SP 800-18 + + Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security Plans for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-18, Rev. 1. + + + + + SP 800-192 + + Yaga DJ, Kuhn R, Hu VC (2017) Verification and Test Methods for Access Control Policies/Models. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-192. + + + + + SP 800-28 + + Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active Content and Mobile Code. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-28, Version 2. + + + + + SP 800-30 + + Joint Task Force Transformation Initiative (2012) Guide for Conducting Risk Assessments. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-30, Rev. 1. + + + + + SP 800-32 + + Kuhn R, Hu VC, Polk T, Chang S-J (2001) Introduction to Public Key Technology and the Federal PKI Infrastructure. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-32. + + + + + SP 800-34 + + Swanson MA, Bowen P, Phillips AW, Gallup D, Lynes D (2010) Contingency Planning Guide for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-34, Rev. 1, Includes updates as of November 11, 2010. + + + + + SP 800-35 + + Grance T, Hash J, Stevens M, O'Neal K, Bartol N (2003) Guide to Information Technology Security Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-35. + + + + + SP 800-37 + + Joint Task Force (2018) Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-37, Rev. 2. + + + + + SP 800-39 + + Joint Task Force Transformation Initiative (2011) Managing Information Security Risk: Organization, Mission, and Information System View. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-39. + + + + + SP 800-40 + + Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch Management Technologies. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-40, Rev. 3. + + + + + SP 800-41 + + Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall Policy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-41, Rev. 1. + + + + + SP 800-45 + + Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on Electronic Mail Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-45, Version 2. + + + + + SP 800-46 + + Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework, Remote Access, and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-46, Rev. 2. + + + + + SP 800-47 + + Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security Guide for Interconnecting Information Technology Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-47. + + + + + SP 800-50 + + Wilson M, Hash J (2003) Building an Information Technology Security Awareness and Training Program. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-50. + + + + + SP 800-52 + + McKay KA, Cooper DA (2019) Guidelines for the Selection, Configuration, and Use of Transport Layer Security (TLS) Implementations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-52, Rev. 2. + + + + + SP 800-53 RES + + NIST Special Publication 800-53, Revision 5 Resource Center. + + + + + SP 800-53A + + Joint Task Force Transformation Initiative (2014) Assessing Security and Privacy Controls in Federal Information Systems and Organizations: Building Effective Assessment Plans. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53A, Rev. 4, Includes updates as of December 18, 2014. + + + + + SP 800-53B + + Joint Task Force (2020) Control Baselines and Tailoring Guidance for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53B. + + + + + SP 800-55 + + Chew E, Swanson MA, Stine KM, Bartol N, Brown A, Robinson W (2008) Performance Measurement Guide for Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-55, Rev. 1. + + + + + SP 800-56A + + Barker EB, Chen L, Roginsky A, Vassilev A, Davis R (2018) Recommendation for Pair-Wise Key-Establishment Schemes Using Discrete Logarithm Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56A, Rev. 3. + + + + + SP 800-56B + + Barker EB, Chen L, Roginsky A, Vassilev A, Davis R, Simon S (2019) Recommendation for Pair-Wise Key-Establishment Using Integer Factorization Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56B, Rev. 2. + + + + + SP 800-56C + + Barker EB, Chen L, Davis R (2020) Recommendation for Key-Derivation Methods in Key-Establishment Schemes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56C, Rev. 2. + + + + + SP 800-57-1 + + Barker EB (2020) Recommendation for Key Management: Part 1 – General. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 1, Rev. 5. + + + + + SP 800-57-2 + + Barker EB, Barker WC (2019) Recommendation for Key Management: Part 2 – Best Practices for Key Management Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 2, Rev. 1. + + + + + SP 800-57-3 + + Barker EB, Dang QH (2015) Recommendation for Key Management, Part 3: Application-Specific Key Management Guidance. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 3, Rev. 1. + + + + + SP 800-60-1 + + Stine KM, Kissel RL, Barker WC, Fahlsing J, Gulick J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 1, Rev. 1. + + + + + SP 800-60-2 + + Stine KM, Kissel RL, Barker WC, Lee A, Fahlsing J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories: Appendices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 2, Rev. 1. + + + + + SP 800-61 + + Cichonski PR, Millar T, Grance T, Scarfone KA (2012) Computer Security Incident Handling Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-61, Rev. 2. + + + + + SP 800-63-3 + + Grassi PA, Garcia ME, Fenton JL (2017) Digital Identity Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63-3, Includes updates as of March 2, 2020. + + + + + SP 800-63A + + Grassi PA, Fenton JL, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Enrollment and Identity Proofing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63A, Includes updates as of March 2, 2020. + + + + + SP 800-63B + + Grassi PA, Fenton JL, Newton EM, Perlner RA, Regenscheid AR, Burr WE, Richer, JP, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Authentication and Lifecycle Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63B, Includes updates as of March 2, 2020. + + + + + SP 800-70 + + Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National Checklist Program for IT Products: Guidelines for Checklist Users and Developers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-70, Rev. 4. + + + + + SP 800-73-4 + + Cooper DA, Ferraiolo H, Mehta KL, Francomacaro S, Chandramouli R, Mohler J (2015) Interfaces for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-73-4, Includes updates as of February 8, 2016. + + + + + SP 800-76-2 + + Grother PJ, Salamon WJ, Chandramouli R (2013) Biometric Specifications for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-76-2. + + + + + SP 800-77 + + Barker EB, Dang QH, Frankel SE, Scarfone KA, Wouters P (2020) Guide to IPsec VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-77, Rev. 1. + + + + + SP 800-78-4 + + Polk T, Dodson DF, Burr WE, Ferraiolo H, Cooper DA (2015) Cryptographic Algorithms and Key Sizes for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-78-4. + + + + + SP 800-79-2 + + Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Shorter S (2015) Guidelines for the Authorization of Personal Identity Verification Card Issuers (PCI) and Derived PIV Credential Issuers (DPCI). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-79-2. + + + + + SP 800-81-2 + + Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS) Deployment Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-81-2. + + + + + SP 800-82 + + Stouffer KA, Lightman S, Pillitteri VY, Abrams M, Hahn A (2015) Guide to Industrial Control Systems (ICS) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-82, Rev. 2. + + + + + SP 800-83 + + Souppaya MP, Scarfone KA (2013) Guide to Malware Incident Prevention and Handling for Desktops and Laptops. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-83, Rev. 1. + + + + + SP 800-84 + + Grance T, Nolan T, Burke K, Dudley R, White G, Good T (2006) Guide to Test, Training, and Exercise Programs for IT Plans and Capabilities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-84. + + + + + SP 800-86 + + Kent K, Chevalier S, Grance T, Dang H (2006) Guide to Integrating Forensic Techniques into Incident Response. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-86. + + + + + SP 800-88 + + Kissel RL, Regenscheid AR, Scholl MA, Stine KM (2014) Guidelines for Media Sanitization. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-88, Rev. 1. + + + + + SP 800-92 + + Kent K, Souppaya MP (2006) Guide to Computer Security Log Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-92. + + + + + SP 800-94 + + Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and Prevention Systems (IDPS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-94. + + + + + SP 800-95 + + Singhal A, Winograd T, Scarfone KA (2007) Guide to Secure Web Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-95. + + + + + SP 800-97 + + Frankel SE, Eydt B, Owens L, Scarfone KA (2007) Establishing Wireless Robust Security Networks: A Guide to IEEE 802.11i. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-97. + + + + + USA PATRIOT + + USA Patriot Act (P.L. 107-56), October 2001. + + + + + USC 11101 + + Definitions, Title 40 U.S. Code, Sec. 11101. 2018 ed. + + + + + USC 2901 + + United States Code, 2008 Edition, Title 44 - Public Printing and Documents , Chapters 29, 31, and 33, January 2012. + + + + + USC 3502 + + Definitions, Title 44 U.S. Code, Sec. 3502. 2011 ed. + + + + + USC 552 + + United States Code, 2006 Edition, Supplement 4, Title 5 - Government Organization and Employees , January 2011. + + + + + USCERT IR + + Department of Homeland Security, US-CERT Federal Incident Notification Guidelines , April 2017. + + + + + USGCB + + National Institute of Standards and Technology (2020) United States Government Configuration Baseline . Available at + + + + + Cybersecurity and Privacy Reference Tool: <em>Security and Privacy Controls for Information Systems and Organizations, 5.1.1</em> + + + + NIST Special Publication 800-53, Revision 5: <em> Security and Privacy Controls for Information Systems and Organizations</em> (PDF) + + + + NIST Special Publication 800-53, Revision 5: <em> Security and Privacy Controls for Information Systems and Organizations</em> (DOI link) + + + + NIST SP 800-53 content and other OSCAL content examples + + + + NIST SP 800-53 content and other OSCAL content examples + + + + \ No newline at end of file